Effective Date for Amendments to FINRA Rule 5110 – Corporate Financing Rule
The proposed rule change to amend FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) (the “Rule”) becomes effective. The amendments make substantive, organizational and terminology changes to the Rule. The proposed rule change is intended to modernize Rule 5110 and to simplify and clarify its provisions while maintaining important protections for market … Continue reading Effective Date for Amendments to FINRA Rule 5110 – Corporate Financing Rule