SR-FINRA-2009-057

Proposed Rule Change Relating the FINRA By-Laws to Amend the Personnel Assessment and Gross Income Assessment

Financial Industry Regulatory Authority, Inc. (“FINRA”) 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 to amend the Personnel Assessment and Gross Income Assessment paid by each FINRA member.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 139.42 KB
Federal Register NoticePDF - 54.31 KB
Extension No. 1PDF - 19.76 KB
Extension No. 2PDF - 23.43 KB
Response to CommentsPDF - 427.59 KB
Approval OrderPDF - 82.69 KB