Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity 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 adjust the rate of FINRA’s Trading Activity Fee (“TAF”) for transactions in covered equity securities.

DateTitleFormat - SizeStatus
4/26/2011Text of Proposed Rule ChangePDF - 63.76 KB
5/4/2011Federal Register NoticePDF - 183.25 KB
6/8/2011Approval OrderPDF - 184.47 KB