Comments on FINRA Rulemaking

Notice of Filing of 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)

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Date Received
Date Letter Type Commenter Name
Public Comment Elizabeth Pula
Public Comment Elliot R. Curzon, Dechert LLP, on behalf of the European Fund and Asset Management Association (EFAMA)
Public Comment Afshin Atabaki, Associate General Counsel, FINRA
Public Comment Chris Peterson
Public Comment Aseel M. Rabie, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association (SIFMA)
Public Comment Dechert LLP
Public Comment Elliott R. Curzon, Dechert LLP, on behalf of the Private Investor Coalition, Inc.
Public Comment Gail C. Bernstein, General Counsel, Investment Adviser Association
Public Comment Robert E. Buckholz, Federal Regulation of Securities Committee, Business Law Section, American Bar Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2019-022
Release Number
34-86558
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