Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution)
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 6898 (Consolidated Audit Trail – Fee Dispute Resolution) to establish the procedures for resolving potential disputes related to CAT Fees charged to Industry Members.
|Title||Format - Size||Status|
|Text of the Proposed Rule Change||PDF - 96.31 KB|
|Federal Register Notice||PDF - 220.41 KB|
|Notice of Designation of a Longer Period for Commission Action||PDF - 207.43 KB|
|Amendment No. 1 to Proposed Rule Change||PDF - 60.82 KB|| |
|Amendment No. 2 to Proposed Rule Change||PDF - 60.92 KB|| |