FINRA proposed an additional extension of the expiration date on previously issued COVID-related relief.
The SEC opened a new comment period to consider objections to proposed revisions to the funding model for the consolidated audit trail.
FINRA proposed extending the expiration date on previously issued COVID-related relief from July 31, 2022 to October 31, 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.
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.