Comments on FINRA Rulemaking

Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 5131

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-70957 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Public Comment 34-70312 Racquel Russell, Financial Industry Regulatory Authority, Washington, District of Columbia
Public Comment 34-70312 William G. Mulligan, CEO, Cordium US
Public Comment 34-70312 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2013-037
Release Number
34-70957
34-70312
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