SR-FINRA-2017-020
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 | |
| Approval Order | PDF - 200.76 KB |