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)

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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)

Title
Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, 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
34-106576
SEC Issue Date

Resources

Order Rule: SEC Issued Version (pdf 173.04 KB)

Last Reviewed or Updated: Oct. 2, 2026