Proposed Rule Change to Establish a Membership Waive-In Process for Certain NYSE Alternext US LLC Member Organizations

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 establish Interpretive Material 1013-2 ("IM-1013-2"), a membership waive-in process for certain American Stock Exchange LLC ("AMEX"), to be renamed NYSE Alternext US LLC ("NYSE Alternext"), member organizations and to amend Interpretive Material Section 4(b)(1) and (e) to Schedule A of the FINRA By-Laws to establish a membership application fee waiver for those NYSE Alternext member organizations that apply for membership pursuant to IM-1013-2.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 94.9 KB
Federal Register NoticePDF - 74.59 KB
Extension No. 1PDF - 19.39 KB
Extension No. 2PDF - 23.33 KB
Approval OrderPDF - 54.69 KB