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Proposed Rule to Establish Fees for Funding Portals

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt Section 15 of Schedule A to the FINRA By-Laws (“Section 15”) governing fees for funding portals that are FINRA members.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 157.27 KB
Notice of Filing and Immediate Effectiveness PDF - 334.36 KB