Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

SR-FINRA-2021-012

Proposed Rule Change to Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 7620A to eliminate the per-transaction fee for late reports and corrective transactions that is currently imposed on non-Retail Participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq TRF Carteret”) and the FINRA/Nasdaq Trade Reporting Facility Chicago (the “FINRA/Nasdaq TRF Chicago”) (collectively, the “FINRA/Nasdaq TRF”) and to increase the Participation Fee to account for the overhead costs associated with processing late and corrective transaction reports.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 389.26 KB
Notice of Filing and Immediate Effectiveness PDF - 312.9 KB