Proposed Rule Change to Adopt a Fee Schedule to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt a fee schedule to establish the fees for Industry Members related to the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”).
|Title||Format - Size||Status|
|Text of the Proposed Rule Change||PDF - 489.45 KB|
|Notice of Filing and Immediate Effectiveness||PDF - 397.43 KB|
|Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove||PDF - 273.77 KB|