Notice Rule

Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131 (New Issue Allocations and Distributions)

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2026-007
View Received Comments

Title
Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131 (New Issue Allocations and Distributions)
Release Number
34-105163
SEC Issue Date

Resources

Notice Rule: SEC Issued Version (pdf 236.87 KB)
Exhibit 5

Title
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Exempt Specified Collective Trust Funds from FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131(b) (New Issue ...
Release Number
34-105487
SEC Issue Date

Resources

Notice Rule: SEC Issued Version (pdf 134.35 KB)

Last Reviewed or Updated: July 14, 2026

Resources

Notice Rule: SEC Issued Version (pdf 207.11 KB)

Details

Public Comments Due

August 4, 2026.
Rebuttal Comments Due: August 18, 2026.

File Number
SR-FINRA-2026-007
Rule Type
Notice
Release Number
34-105873
SEC Issue Date