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Notice Rule

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)

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2026-002

Last Reviewed or Updated: Jan. 30, 2026

Resources

Notice Rule: SEC Issued Version (pdf 251.32 KB)

Exhibit 5

Details

Public Comments Due

Feb. 20, 2026

File Number

SR-FINRA-2026-002

Rule Type

Notice

Release Number

34-104695

SEC Issue Date

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)

Public Comments

Resources

Details

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)

Public Comments

Resources

Details