FINRA's proposal amending Rule 5110 ("Corporate Financing Rule - Underwriting Terms and Arrangements") to make "substantive, organizational and terminology" changes was published in the Federal Register. Comments must be submitted by May 22, 2019.
As previously covered, the proposal is intended to enhance the rule by simplifying its provisions while simultaneously maintaining critical protections for market participants. The proposal also would update cross-references and make technical changes to other FINRA rules consistent with the proposed amendments to the corporate financing rule.
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The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
