Federal Register #SR-FINRA-2026-016

SEC Notice: Proposed Amendment to FINRA Rule 4515.01 on Investment Adviser Order Allocations

This notice from the Securities and Exchange Commission (SEC) concerns a proposed regulatory amendment, not a procurement opportunity. - Government buyer: Securities and Exchange Commission (SEC) - OEM/vendor mentioned: Financial Industry Regulatory Authority, Inc. (FINRA) - No products or services are being requested or procured - Subject: Proposed amendment to FINRA Rule 4515.01 (Allocations of Orders Made by Investment Advisers) - Seeks to expand the exception from principal approval requirements to all allocations of bulk investment adviser orders, regardless of when allocation instructions are received - Aims to address operational challenges and reflect advances in trade processing technology - Maintains investor protection while supporting efficient allocation processing - The notice is a request for public comment on the regulatory amendment, not a solicitation for goods or services

Description

The Securities and Exchange Commission has filed a notice regarding a proposed rule change by the Financial Industry Regulatory Authority, Inc. (FINRA). The rule change pertains to amendments to FINRA Rule 4515.01 concerning allocations of orders made by investment advisers. The amendment aims to expand the current exception from the rules principal approval requirements to apply to all allocations of bulk investment adviser orders, regardless of when allocation instructions are received. The notice includes details about the docket, URLs for full text and related documents, and references to related filings.

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