Proposed Rule Change to Amend FINRA's Gross Income Assessment and Make Technical Changes to Schedule A to FINRA's By-Laws

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 Section 1(c) of Schedule A to the FINRA By-Laws ("Schedule A") to amend the Gross Income Assessment ("GIA") paid by each FINRA member and to update the references to NASD that appear in Schedule A to the FINRA By-Laws.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 95.97 KB
Federal Register NoticePDF - 70.43 KB
Approval OrderPDF - 69.87 KB