News & Analysis as of

Underwriting Filing Requirements

Mayer Brown Free Writings + Perspectives

Is today a Business Day?

Is today a Business Day? Good question, depends who you ask. The SEC’s EDGAR filing system is closed today for the Juneteenth Holiday.  Because today is a federal holiday, today will not count as a business day in the filing...more

Mayer Brown Free Writings + Perspectives

Corporate Financing Rule Change (FINRA Rule 5110)

The Financial Industry Regulatory Authority, Inc. (“FINRA”) recently released Regulatory Notice 20- 10, which discusses the recent changes to Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) (the...more

Mayer Brown Free Writings + Perspectives

SEC Approves FINRA Rule 5110 Amendments

Recently, the Securities and Exchange Commission approved FINRA’s proposed amendments to its Corporate Financing Rule, which are intended to modernize, simplify, and streamline the rule....more

A&O Shearman

FINRA Proposes Substantive and Organizational Amendments to Corporate Financing Rule

A&O Shearman on

On April 25, 2019, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed proposed amendments to FINRA Rule 5110 (“FINRA Rule 5110” or “the Rule”), commonly referred to as the “Corporate Financing Rule”, with the...more

Dechert LLP

FINRA Proposes Amendments to Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements)

Dechert LLP on

The Financial Industry Regulatory Authority, Inc. filed proposed amendments to FINRA Rule 5110 (Proposed Rule Change) with the Securities and Exchange Commission on April 11, 2019.1 Rule 5110 (Rule) imposes certain...more

Mayer Brown Free Writings + Perspectives

FINRA's Corporate Financing Rule

Recently, FINRA refiled with the SEC proposed rule changes to its Corporate Financing Rule, which is Rule 5110. We had previously posted regarding FINRA’s proposed amendments, which were withdrawn. ...more

Mayer Brown Free Writings + Perspectives

Proposed FINRA Corporate Financing Rule Change

On October 30, 2018, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a proposed rule change to amend FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) (the “Rule”), which is...more

Latham & Watkins LLP

With Proposed Amendments to Rule 5110, FINRA Looks to Modernize Corporate Finance Regulation

Latham & Watkins LLP on

The proposal represents a major step in what promises to be a full-scale overhaul of FINRA’s Capital Formation Rules - On April 12, 2017, the Financial Industry Regulatory Authority, Inc. (FINRA) published Regulatory...more

Morrison & Foerster LLP - Structured Products

Structured Thoughts: News for the financial services community, Volume 8, Issue 4

FINRA’s Proposed Amendments to the Corporate Financing Rules – Impact on Structured Notes - In April 2017, FINRA released a set of significant proposed amendments to its Rule 5110, known as the “Corporate Financing Rule.” ...more

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