SR-FINRA-2009-089
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 |