Proposed Rule Change Relating to FINRA’s Fees for Filing Documents Pursuant to FINRA Rule 5110
Proposed Rule Change to Adopt FINRA Rule 2122 (Charges for Services Performed) in the Consolidated FINRA Rulebook.
Proposed Rule Change Relating to Establishing a Governmental Accounting Standards Board Accounting Support Fee
Proposed Rule Change to Amend NASD Rules 1022 (Categories of Principal Registration) and 1032 (Categories of Representative Registration)
Proposed Rule Change to Amend FINRA Rule 8210 to Require Encryption of Information Provided via Portable Media Device
Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting
Proposed Rule Change Relating the FINRA By-Laws to Amend the Personnel Assessment and Gross Income Assessment
Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Proposed Rule Change to Modify Certain FINRA/Nasdaq Trade Reporting Facility Fees
Proposed Rule Change to Delay the Implementation date of FINRA Rule 2090 (Know Your Customer) and FINRA Rule 2111 (Suitability)
