Order 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
View Received Comments

Title
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)
Release Number
34-104695
SEC Issue Date

Resources

Notice Rule: SEC Issued Version (pdf 251.32 KB)
Exhibit 5

Last Reviewed or Updated: April 28, 2026

Resources

Order Rule: SEC Issued Version (pdf 216.51 KB)

Details

Public Comments Due

May 19, 2026. 

Rebuttal Comments Due: June 2, 2026.

File Number
SR-FINRA-2026-002
Rule Type
Order
Release Number
34-105296
SEC Issue Date