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-FINRA-2007-041

Proposed Rule Change to Amend NASD Rule 7001B to Adjust Percentage of Market Data Revenue Shared with FINRA/Nasdaq TRF Participants

Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 7001B (Securities Transaction Credit) to modify the percentage of New York Stock Exchange ("Tape A"), American Stock Exchange and regional exchange ("Tape B"), and Nasdaq Exchange ("Tape C") market data revenue shared with FINRA members reporting trades to the NASD/Nasdaq Trade Reporting Facility (the "NASD/Nasdaq TRF").
 
Text of Proposed Rule Change PDF 74 KB
Federal Register Notice PDF 69 KB
Extension No. 1 PDF 24 KB
Extension No. 2 PDF 24 KB
Response to Comments PDF 109 KB
Extension No. 3 PDF 24 KB
Approval Order PDF 64 KB