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Regulatory Release

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...

Details

Rule Type

Order

Release Number

34-106576

SEC Issue Date

Oct. 2, 2026 | 4:03 pm ET

Resources

34-106576

SRO Organization

Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: Oct. 2, 2026

Rules & Regulations

Enforcement & Litigation

Compliance

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...

Details

Resources

More in this Section

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...

Details

Resources