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Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rules 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities)
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Federal Register Documents published on or after 08/24/2025
[ ] On March 12, 2026, FINRA consented to an extension of the time period in which the Commission must approve the proposed rule change, disapprove the proposed rule change, or institute proceedings to determine whether to approve or disapprove the proposed rule change to April 30, 2026.
[ ] On April 28, 2026, the Commission published an order instituting proceedings (“OIP”) to determine whether to approve or disapprove the proposed rule change.
[ ]c. Additional Modifications to Rule 5110The proposed rule change would make other modifications to Rule 5110 that FINRA believes would improve the operation of the rule.
[ ]Second, the proposed rule change would also amend Rule 5110 to make non-substantive, technical changes.
[ ]The proposed rule change would amend Rule 5123(b)(1) to include these same two categories of entities to the filing exemption under Rule 5123.