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FINRA.org will undergo scheduled maintenance on October 18, 2026, 11 p.m. – October 19, 2026, 7 a.m., with a brief 5 min. outage during this window.

SR-FINRA-2026-007

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to exempt specified collective trust funds (“CTFs”) from FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and from paragraph (b) (Spinning) of FINRA Rule 5131 (New Issue Allocations and Distributions).

SR-FINRA-2026-006

Rule Filing Status: Filed for Immediate Effectiveness

Proposed rule change to amend FINRA Rule 6272 (Character of Quotations) to modify the operation of the Alternative Display Facility (“ADF”) in light of SEC Regulation NMS’s new requirements related to the dissemination of odd-lot quotation information.

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