Rule lifecycle · DOCKET:File No. SR-FINRA-2026-016
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 4515.01 (Allocations of Orders Made by Investment Advisers)
Securities and Exchange Commission — observed across 2 documents over 49 days. Use the source documents below before deciding whether this affects your business.
In plain English
The SEC is updating rules that tell investment advisers how to fairly split up customer orders among different accounts and clients. If you use an investment adviser for your retirement savings or business investments, ask them to explain how they allocate orders so you know you're treated fairly.
First seen
Jul 21, 2026
Last seen
Sep 8, 2026
Latest stage
Notice
PRORULE → RULE
—
Stage timeline
Notice·Jul 21, 2026·91 FR 45862
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 4515.01 (Allocations of Orders Made by Investment Advisers)
#2026-14621
Notice·Sep 8, 2026·91 FR 57174
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 4515.01 (Allocations of Orders Made by Investment Advisers)
#2026-18206