SR-FINRA-2013-037
Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 5131 (New Issue Allocations and Distributions) to allow members to rely on written representations from certain accounts to comply with Rule 5131(b) related to spinning.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 1.42 MB | |
| Federal Register Notice | PDF - 210.03 KB | |
| Extension No. 1 | PDF - 26.68 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 106.42 KB | |
| Response to Comments | PDF - 1.04 MB | |
| Approval Order | PDF - 206.61 KB |