SR-FINRA-2009-057
Proposed Rule Change Relating the FINRA By-Laws to Amend the Personnel Assessment and Gross Income Assessment
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to Section 1(c) of Schedule A to the FINRA By-Laws to amend the Personnel Assessment and Gross Income Assessment paid by each FINRA member.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 139.42 KB | |
| Federal Register Notice | PDF - 54.31 KB | |
| Extension No. 1 | PDF - 19.76 KB | |
| Extension No. 2 | PDF - 23.43 KB | |
| Response to Comments | PDF - 427.59 KB | |
| Approval Order | PDF - 82.69 KB |