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2015047927501 First Manhattan Co. CRD 1845 AWC sl (2020-1587687571194).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047927501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: First Manhattan Co., Respondent Member Firm CRD No. 1845 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent First Manhattan Co. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

SR-FINRA-2019-012

Rule Filing Status:  Approved

Rule change to amend FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) (the “Rule”) to make substantive, organizational and terminology changes to the Rule. The proposed rule change is intended to modernize Rule 5110 and to simplify and clarify its provisions while maintaining important protections for market participants, including issuers and investors participating in offerings.

SR-FINRA-2019-012

Rule Filing Status:  Approved

Rule change to amend FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) (the “Rule”) to make substantive, organizational and terminology changes to the Rule. The proposed rule change is intended to modernize Rule 5110 and to simplify and clarify its provisions while maintaining important protections for market participants, including issuers and investors participating in offerings.

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