Proposed Rule Change Relating to FINRA’s Fees for Filing Documents Pursuant to FINRA Rule 5110

Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Section 7 of Schedule A to the FINRA By-Laws to adjust fees for filing documents pursuant to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements).

DateTitleFormat - SizeStatus
6/8/2012Text of Proposed Rule ChangePDF - 72.84 KB
6/28/2012Notice of Filing and Immediate EffectivenessPDF - 195.14 KB
8/6/2012Response to CommentsPDF - 301.96 KB