SR-FINRA-2026-016

SR-FINRA-2026-016
K28672

Rule Filing Status: Approved

Rule change to amend FINRA Rule 4515.01 to expand the current exception from the rule’s principal approval requirements to apply to all allocations of bulk investment adviser orders, irrespective of when allocation instructions are received.

Event Category

Add to Calendar
Yes

All Day
1

Event Date
Mon, 11/16/2026 – 09:00
–
Mon, 11/16/2026 – 10:00

America/New York