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).

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 72.84 KB
Notice of Filing and Immediate EffectivenessPDF - 195.14 KB
Response to CommentsPDF - 301.96 KB