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Proposed Rule Change to Amend FINRA’s Trading Activity Fee

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Section 1(b) of Schedule A to the FINRA By-Laws to exempt from the Trading Activity Fee (“TAF”) any transaction by a proprietary trading firm that occurs on an exchange of which the proprietary trading firm is a member.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 4.96 MB
Notice of Filing and Immediate Effectiveness PDF - 148.9 KB New