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Notice Rule

Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 4515.01 (Allocations of Orders Made by Investment Advisers)

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2026-016

Last Reviewed or Updated: July 21, 2026

Resources

Notice Rule: SEC Issued Version (pdf 216.6 KB)

Exhibit 5

Details

Public Comments Due

Aug. 11, 2026

File Number

SR-FINRA-2026-016

Rule Type

Notice

Release Number

34-105925

SEC Issue Date

July 16, 2026

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 4515.01 (Allocations of Orders Made by Investment Advisers)

Public Comments

Resources

Details

More in this Section

Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 4515.01 (Allocations of Orders Made by Investment Advisers)

Public Comments

Resources

Details