Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Regulatory Release

Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities)

Details

Rule Type

Notice

Release Number

34-104695

SEC Issue Date

Jan. 27, 2026 | 3:27 pm ET

Resources

34-104695

SRO Organization

Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: Jan. 27, 2026

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities)

Details

Resources

More in this Section

Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities)

Details

Resources