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Securities › Proposed Amendments › Financial Industry Regulatory Authority (FINRA)

Mayer Brown Free Writings + Perspectives

FINRA Proposes to Exempt BDCs from its IPO Purchase Restriction Rules

Mayer Brown Free Writings + Perspectives on

On March 20, 2025, the Financial Industry Regulatory Authority (FINRA) proposed amendments to its rules imposing restrictions on the purchase and sale of equity securities offered in initial public offerings (IPOs) (Rule...more

Carlton Fields

FINRA to Overhaul Gifts, Non-Cash Compensation, and Business Entertainment Rules

Carlton Fields on

On August 5, FINRA proposed amendments to its gifts rule (Rule 3220) along with new rules to replace the current provisions governing noncash compensation (new Rule 3221) and business entertainment (new Rule 3222). These...more

Katten Muchin Rosenman LLP

FINRA Proposes Changes to FINRA Rules 7410 and 2121

Katten Muchin Rosenman LLP on

The Financial Industry Regulatory Authority, Inc. is proposing to amend FINRA Rule 7410 to permit members which, under FINRA Rule 7410, are not considered to be “reporting members” (i.e., because, among other things, such...more

Katten Muchin Rosenman LLP

FINRA Proposes to Amend Rule 11892

Katten Muchin Rosenman LLP on

On May 6, the Securities and Exchange Commission published a notice of filing of a proposed change to Financial Industry Regulatory Authority, Inc. Rule 11892 regarding clearly erroneous transactions in exchange-listed...more

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