Proposed Rule Change Relating to the Waiver of Certain TRACE Late Trade Reporting Fees Due to Hurricane Sandy
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to waive certain Trade Reporting and Compliance Engine ("TRACE") late trade reporting fees specified in FINRA Rule 7730(b)(3) due to disruptions in normal business operations as a result of Hurricane Sandy.
Title | Format - Size | Status |
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Text of Proposed Rule Change | PDF - 71.98 KB | |
Notice of Filing and Immediate Effectiveness | PDF - 202.23 KB |