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Public Offerings Financial Industry Regulatory Authority (FINRA) Proposed Amendments

Latham & Watkins LLP

FINRA Proposes Amendments to Margin Requirement Rules

Latham & Watkins LLP on

The proposed amendments could significantly alter the landscape for extended settlement of securities offerings by expressly limiting the public offering exception for “when-issued” securities to equity IPOs. Key Points: ...more

Dechert LLP

FINRA Proposes Amendments to Rules 5130 and 5131 Governing Purchase and Sale of Initial Equity Public Offerings and New Issue...

Dechert LLP on

The Financial Industry Regulatory Authority on July 26, 2019 filed with the Securities and Exchange Commission a proposal to amend FINRA Rules 5130 and 5131 (collectively, Rules) (Proposed Amendments).1 The Proposed...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

Carlton Fields

FINRA Public Offering Proposal Excludes All Insurance Contracts

Carlton Fields on

For the first time since 2004, FINRA has proposed major amendments to its requirements that govern the terms of the underwriting arrangements for most public offerings of securities and mandate that such arrangements be...more

A&O Shearman

FINRA Proposes Broad Range of Amendments to Corporate Financing Rule

A&O Shearman on

On April 12, 2017, the US Financial Industry Regulatory Authority, Inc. (“FINRA”) published proposed amendments to FINRA Rule 5110, which regulates the terms and arrangements of securities underwriting conducted by FINRA...more

Carlton Fields

FINRA to Overhaul Gifts, Non-Cash Compensation, and Business Entertainment Rules

Carlton Fields on

On August 5, FINRA proposed amendments to its gifts rule (Rule 3220) along with new rules to replace the current provisions governing noncash compensation (new Rule 3221) and business entertainment (new Rule 3222). These...more

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