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June 02, 2022

Comments are due by June 22, 2022 for a proposal from multiple SROs to amend the CAT NMS Plan. The proposal would implement a revised funding model for the consolidated audit trail and establish a fee schedule for Participant CAT fees.

April 25, 2022

In a special notice describing the responsibilities of the Small Firm Advisory Committee, Regional Committees, National Adjudicatory Council, and FINRA Board of Governors, FINRA provided an overview of elected vacancies to be filled in 2022 and described how eligible individuals can qualify as candidates.