Rule lifecycle · DOCKET:File No. SR-FINRA-2026-002
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)
Securities and Exchange Commission — observed across 2 documents over 92 days. Use the source documents below before deciding whether this affects your business.
In plain English
Investment firms that help companies raise money through stock and bond sales must follow updated rules about what kinds of deals they can make and how to structure them. If you're raising capital by selling company stock or bonds, check with your investment advisor on how the new rules might affect your deal's terms and costs.
First seen
Apr 28, 2026
Last seen
Jul 29, 2026
Latest stage
Notice
PRORULE → RULE
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Stage timeline
Notice·Apr 28, 2026·91 FR 22902
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend FINRA Rules 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities)
#2026-08182
Notice·Jul 29, 2026·91 FR 47903
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)
#2026-15242