The following charges shall be paid by SLATE Participants for the use of the Securities Lending and Transparency Engine (“SLATE”):System FeesLoan Reporting FeesData FeesSLATE Web Browser Access Fee – $25/month per user ID Initial Covered Securities Loan – $0.07Market Data: SLATE Loan-Level Data and Daily Loan Statistics – $3,000/month, except for qualifying Tax-Exempt Organizations.&
(a) DefinitionsFor purposes of this Rule and any interpretation thereof:(1) "Communications" consist of correspondence, retail communications and institutional communications.(2) "Correspondence" means any written (including electronic) communication that is distributed or made available to 25 or fewer retail investors within any 30 calendar-day period.(3) "Institutional
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This version of the rule is effective for cases filed on or after Mar 04, 2024 through Mar 02, 2025.To view other versions open the versions tab on the right.(a) Applicability of RuleThis rule applies to arbitrations involving $50,000 or less, exclusive of interest and expenses. All arbitrations administered under this rule will be decided on the pleadings and
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to amend FINRA Rule 7620B (Trade Reporting Facility Reporting Fees) to modify the trade reporting fees applicable to participants that use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”).
This filing has been withdrawn.
Summary
This Notice provides guidance to help member firms comply with FINRA Rule 2210, Communications with the Public, when creating, reviewing, approving, distributing, or using retail communications concerning private placement offerings.
Questions concerning this Notice should be directed to:
Amy C. Sochard, Vice President, Advertising Regulation, at (240) 386-4508; or
Ira D. Gluck,
NASDR has filed with the SEC a proposed rule change to amend the Code of Arbitration Procedure to implement a voluntary single arbitrator pilot program.
Proposed Rule Change Regarding Cancellation or Rescheduling Fees for Qualification Examinations and Continuing Education Sessions
Online Arbitration Claim Filing Pilot Program
NASD has filed with the SEC a proposed rule change discussing the implementation of new and revised qualification examinations to address trading in security futures.
Exemptive relief is denied based on the firm's failure to implement compliance procedures sufficient to educate its municipal finance professionals regarding the particular provisions of the Rule, or otherwise prevent the occurrence of the contributions.
