Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Exempt Specified Collective Trust Funds From FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131(b) (New Issue Allocations and Distributions)

Jurisdiction: District of Columbia statewide, DC District of Columbia statewide County, DC
Recorded by: Federal RegisterPublic source — not a Notice Nearby paid publication
Meeting / hearing: Wed, Oct 7, 2026 · 12:00 AM EDT
Placement start: Oct 6, 2026, 5:00 PM PDT
Placement end: October 7, 2026
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Run schedule: 1 insertion: —
Original source: https://www.federalregister.gov/documents/2026/10/07/2026-20506/self-regulatory-organizations-financial-industry-regulatory-authority-inc-order-approving-a-proposedSourced from Federal Register

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Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Exempt Specified Collective Trust Funds From FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131(b) (New Issue Allocations and Distributions) Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Exempt Specified Collective Trust Funds From FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131(b) (New Issue Allocations and Distributions) Agency: Securities and Exchange Commission. Document type: Notice. Document number: 2026-20506. Official Federal Register document. Matter furnished by the National Archives Federal Register API. Notice Nearby is not the publisher of record for this item. Source: https://www.federalregister.gov/documents/2026/10/07/2026-20506/self-regulatory-organizations-financial-industry-regulatory-authority-inc-order-approving-a-proposed

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