FINRA proposed removing the $0.50 fee applicable to FINRA/Nasdaq TRF transaction queries performed by non-retail participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret and the FINRA/Nasdaq Trade Reporting Facility Chicago.
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63 News Results
FINRA filed for immediate effectiveness a proposed update to the trade reporting fees for broker-dealers that use the FINRA/NYSE Trade Reporting Facility.
The SEC announced that Consolidated Audit Trail participants withdrew a proposed amendment to implement a revised funding model for the CAT and to impose a related fee schedule.
FINRA proposed amendments to a rule on reporting and fee requirements for the delivery by broker-dealers of proxy and other issuer-related materials.
In updated FAQs on its Renewal Program, FINRA reminded broker-dealer firms on deadlines associated with Preliminary Statements, form filings and branch office fees.