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Regulatory Release

Order Instituting Proceedings to Determine Whether to Approve or Disapprove 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

Order

Release Number

34-105296

SEC Issue Date

April 23, 2026 | 2:36 pm ET

Resources

34-105296

SRO Organization

Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: April 23, 2026

Rules & Regulations

Enforcement & Litigation

Compliance

Order Instituting Proceedings to Determine Whether to Approve or Disapprove 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

Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rules 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities)

Details

Resources