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Regulatory Release

Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Exempt Certain Business Development Companies from FINRA Rules 5130 (Restrictions on the Purchase...

Details

Rule Type

Order

Release Number

34-103334

SEC Issue Date

June 26, 2025 | 5:15 pm ET

Resources

34-103334

SRO Organization

Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: July 1, 2025

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Exempt Certain Business Development Companies from FINRA Rules 5130 (Restrictions on the Purchase...

Details

Resources

More in this Section

Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Exempt Certain Business Development Companies from FINRA Rules 5130 (Restrictions on the Purchase...

Details

Resources