Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit
Proposed Rule Change to Modify Certain FINRA/Nasdaq Trade Reporting Facility Fees
Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2013-046
Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Proposed Rule Change Relating to Reporting and Market Participant Identifier Requirements for Alternative Trading Systems
Proposed Rule Change to Make Non-Substantive Technical Changes to the Supplemental Statement of Income Required to be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
(a) Fees for Claims Filed by Customers, Associated Persons and Other Non-Members
(1) Customers, associated persons, and other non-members who file a claim, counterclaim, cross claim or third party claim must pay a filing fee in the amount indicated in the schedule below. The Director may defer payment of all or part of the filing fee on a showing of financial hardship. If payment of the fee is
(a) Fees for Claims Filed by Associated Persons
(1) Associated persons who file a claim, counterclaim, cross claim or third party claim must pay a filing fee in the amount indicated in the schedule below.
Filing Fees for Claims Filed by Associated Persons
Amount of Claim
(exclusive of interest
and expenses)
Filing Fee
$.01 to $1,000
$50
INFORMATIONAL
Primex Auction System
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Technology
Trading & Market Making
Trading Systems
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) and Nasdaq® Boards have agreed to establish the Primex Auction SystemTM, a new trading system designed to
