FINRA Proposes Amendments to Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements)
May 21, 2019
The Financial Industry Regulatory Authority, Inc. filed proposed amendments to FINRA Rule 5110 (Proposed Rule Change) with the Securities and Exchange Commission on April 11, 2019. Rule 5110 (Rule) imposes certain substantive and filing requirements on FINRA members (Members) that participate in public offerings of securities. Comments are due to the SEC by May 23, 2019.
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