Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook

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Date Received
Date Letter Type Commenter Name
Public Comment Stan Macel, Assistant General Counsel, Financial Industry Regulatory Authority, Washington, District of Columbia
Public Comment Jeffrey W. Rubin, Chair, Committee on Federal Regulation of Securities, Section of Business Law, American Bar Association, New York, New York

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2010-026
Release Number
34-62199
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