Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Section 1 of Schedule A to the FINRA By-Laws to provide an alternative method of calculating the Trading Activity Fee (“TAF”) for transactions in Asset-Backed Securities.

DateTitleFormat - SizeStatus
1/10/2011Text of Proposed Rule ChangePDF - 81.82 KB
1/28/2011Federal Register NoticePDF - 186.99 KB
3/10/2011Approval OrderPDF - 183.17 KB