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.” FINRA’s regulatory notice relating to the proposed amendments, together with the text of the proposed revisions, may be found here.

The proposed revisions would make substantive, organizational and terminology changes to the rule. According to FINRA, the proposal is intended to modernize the rule, and to simplify and clarify its provisions.