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SR-FINRA-2019-022

Proposed Rule Change to Amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions) to exempt additional persons from the scope of the rules, modify current exemptions to enhance regulatory consistency, address unintended operational impediments and exempt certain types of offerings from the scope of the rules.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 392.42 KB
Federal Register Notice PDF - 340.59 KB
Extension No. 1 PDF - 214.77 KB
Amendment No. 1 to Proposed Rule Change PDF - 114.03 KB
Response to Comments PDF - 87.59 KB
Approval Order PDF - 321.19 KB New