Update on New FINRA Rules and Rule Proposals for Public


The Financial Industry Regulatory Authority has been active in proposing new rules and providing interpretative guidance affecting FINRA-member firms in the distribution of initial public offerings, which will impact underwriting and distribution arrangements. These developments are summarized in this briefing, along with a FINRA Concept Proposal to Require a Disclosure Statement for Retail Investors at or Before Commencing a

Business Relationship.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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