Comments on FINRA Rulemaking

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Exempt Certain Business Development Companies from FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131 (New Issue Allocations and Distributions)

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Date Received
Date Letter Type Commenter Name
Public Comment Anonymous
Public Comment Ilana Reid, Associate General Counsel, FINRA
Public Comment Anya Coverman, President and CEO, Institute for Portfolio Alternatives
Public Comment Kevin Ercoline, Assistant General Counsel, Investment Company Institute

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2025-001
Release Number
34-102723
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