Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Section 1 of Schedule A to the FINRA By-Laws to adjust the rate of FINRA’s Trading Activity Fee (“TAF”) for transactions in covered equity securities.
Title | Format - Size | Status |
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Text of Proposed Rule Change | PDF - 173.36 KB | |
Federal Register Notice | PDF - 202.21 KB | |
Response to Comments | PDF - 331.64 KB | |
Approval Order | PDF - 182.14 KB |