Comments on FINRA Rulemaking

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; 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)

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Date Received
Date Letter Type Commenter Name
Public Comment Demetri Lambros, Associate General Counsel, FINRA
Public Comment Eversheds Sutherland (US) LLP on behalf of Coalition of Collective Investment Trusts
Public Comment Tara R. Buckley, Deputy General Counsel, Investment Company Institute
File Number
SR-FINRA-2026-007
Release Number
34-105163
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