Notice Rule

Notice of Filing of a Proposed Rule Change to Exempt Certain Business Development Companies from 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)

Public Comments

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Title
Notice of Filing of a Proposed Rule Change to Exempt Certain Business Development Companies from FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131 (New Issue Allocations and Distributions)
Release Number
34-102723
SEC Issue Date

Resources

Notice Rule: SEC Issued Version (pdf 204.04 KB)

Title
Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Exempt Certain Business Development Companies from FINRA Rules 5130 (Restrictions on the Purchase...
Release Number
34-103334
SEC Issue Date

Resources

Order Rule: SEC Issued Version (pdf 182.97 KB)

Last Reviewed or Updated: July 1, 2025