Market regulation · 01/07/2025

Financial Industry Regulatory Authority, Inc. Files Partial Amendment No. 1 and Receives Accelerated Approval for Proposed Rule Change Exempting Certain Business Development Companies

The Financial Industry Regulatory Authority, Inc. has filed Partial Amendment No. 1 and received accelerated approval for a proposed rule change that exempts certain Business Development Companies from FINRA Rules 5130 and 5131.