Securities and Exchange Commission (SEC), Filing Requirements, Underwriting

Final Changes: The Upsizing or Downsizing Handbook

Cooley LLP on 4/4/2025

Pricing day is a huge milestone in the initial public offering (IPO) journey. It is the culmination of months of preparation and drafting and being out on the road talking to investors. Before you hit the road, you’ll have...more

Is today a Business Day?

Mayer Brown Free Writings + Perspectives on 6/18/2021

Is today a Business Day? Good question, depends who you ask. The SEC’s EDGAR filing system is closed today for the Juneteenth Holiday. Because today is a federal holiday, today will not count as a business day in the filing...more

SEC Approves FINRA Rule 5110 Amendments

Mayer Brown Free Writings + Perspectives on 12/27/2019

Recently, the Securities and Exchange Commission approved FINRA’s proposed amendments to its Corporate Financing Rule, which are intended to modernize, simplify, and streamline the rule....more

FINRA Proposes Substantive and Organizational Amendments to Corporate Financing Rule

A&O Shearman on 6/7/2019

On April 25, 2019, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed proposed amendments to FINRA Rule 5110 (“FINRA Rule 5110” or “the Rule”), commonly referred to as the “Corporate Financing Rule”, with the...more

FINRA's Corporate Financing Rule

Mayer Brown Free Writings + Perspectives on 4/24/2019

Recently, FINRA refiled with the SEC proposed rule changes to its Corporate Financing Rule, which is Rule 5110. We had previously posted regarding FINRA’s proposed amendments, which were withdrawn. ...more

Proposed FINRA Corporate Financing Rule Change

Mayer Brown Free Writings + Perspectives on 11/14/2018

On October 30, 2018, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a proposed rule change to amend FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) (the “Rule”), which is...more