HomeRules & RegulationEnforcementEducation & ProgramsRegulatory SystemsArbitration & MediationInvestor Information
FINRA Rules | Notices | Rule Filings | Member Alerts | Publications & Guidance | Issue Center | Compliance Tools
spacer image
spacer image
spacer image spacer image spacer image spacer image spacer image spacer image spacer image spacer image spacer image
 
Search
Powered by Google

Rule Filings

spacer image LOGO

SR-NASD-2002-147

Sunsetting Revisions to By-Laws Regarding the Regulatory Fee and the Trading Activity Fee Established in SR-NASD-2002-98

NASD has filed with the SEC a proposed rule change to: (1) amend Schedule A of the NASD By-Laws to sunset the Trading Activity Fee ("TAF") established in SR-NASD-2002-98, terminating on December 31, 2002; and (2) correct language in Section 2 that was mistakenly referenced in SR-NASD-2002-98. NASD is sunsetting the changes made in SR-NASD-2002-98 in response to member comment asserting that a full notice and comment period would be beneficial to NASD members.
 
Text of proposed rule change PDF 163 KB
Amendment No. 1 to Proposed Rule Change PDF 55 KB
Amendment No. 2 to Proposed Rule Change PDF 56 KB
Approval Order PDF 52 KB