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Proposed Rule Change to Adopt FINRA Rule 6490 Relating to Processing of Company-Related Actions and Implementing Fees for Such Services

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 6490 (Processing of Company-Related Actions) to clarify the scope of FINRA’s regulatory authority and discretionary power when processing documents related to announcements for company-related actions for non-exchange listed equity and debt securities and to implement fees for such services.

Title Format - Size Status
Text of Proposed Rule Change PDF - 108.68 KB
Federal Register Notice PDF - 58.91 KB
Extension No. 1 PDF - 23.73 KB
Extension No. 2 PDF - 23.72 KB
Extension No. 3 PDF - 23.72 KB
Response to Comments PDF - 360.7 KB
Extension No. 4 PDF - 23.73 KB
Extension No. 5 PDF - 23.72 KB
Extension No. 6 PDF - 23.1 KB
Extension No. 7 PDF - 23.03 KB
Approval Order PDF - 78.49 KB