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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).
2024084458201 William Steven Cooke CRD 2107758 AWC lp.pdf
Cooke refused to appear for on-the-record testimony requested pursuant to FINRA Rule
8210. As a result, Cooke violated FINRA Rules 8210 and 2010 and is barred from
associating with any FINRA member in all capacities.
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.