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 6730 (Transaction Reporting) to provide members additional time to report to the Transaction Reporting and Compliance Engine (“TRACE”) transactions in U.S. Treasury Securities executed to hedge a primary market transaction
Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57)
Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Security Futures
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to enhance the collection and dissemination of new issue reference data for corporate bonds and charge associated fees.
See also SR-FINRA-2021-007 (Proposed Rule Change to Extend the Time to Announce the Implementation Schedule for FINRA’s
Proposed Rule Change to Update Certain Cross-References and Make a Non-Substantive Technical Change to a FINRA Rule
Proposed Rule Change to amend FINRA Rule 6730 (Transaction Reporting) to Provide a Temporary Exception to Permit Aggregate Reporting for Certain ATS Transactions in U.S. Treasury 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.
Filing Fees for Claims Filed by Customers, Associated Persons,
and Other Non-Members
Amount of Claim
By offering new ways for financial institutions to engage and interact both internally and externally, the metaverse may provide new opportunities and present novel challenges. For example, market participants have noted that the metaverse may offer new methods to engage with and educate a broader group of investors, particularly younger investors who are beginning their investing journey. The
Proposed Rule Change to Modify Fees and Transaction Credits Applicable to Members That Use the FINRA/NYSE Trade Reporting
Proposed Rule Change to Amend Sections 4 and 6 of Schedule A to the FINRA By-Laws Regarding Fees Relating to the Central Registration Depository
