SR-FINRA-2026-007

SR-FINRA-2026-007
K28672

Rule Filing Status Report: Approved

Rule Change to Exempt Specified Collective Trust Funds (“CTFs”) from FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131(b) (New Issue Allocations and Distributions – Spinning)

Event Category

Add to Calendar
Yes

All Day
1

Event Date
Thu, 11/05/2026 – 09:00
–
Thu, 11/05/2026 – 09:00

America/New York