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Regulatory Release

Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Partial Amendment No. 1, to Exempt Specified Collective Trust Funds from FINRA Rules 5130...

Details

Rule Type

Notice

Release Number

34-105873

SEC Issue Date

July 9, 2026 | 1:37 pm ET

Resources

34-105873

SRO Organization

Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: July 9, 2026

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Partial Amendment No. 1, to Exempt Specified Collective Trust Funds from FINRA Rules 5130...

Details

Resources

More in this Section

Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Partial Amendment No. 1, to Exempt Specified Collective Trust Funds from FINRA Rules 5130...

Details

Resources