TITLE

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Aggregation of Activity of Affiliated Members for Purposes of FINRA/Nasdaq TRF Fees and Credits

AUTHOR(S)
Murphy, Elizabeth M.
PUB. DATE
October 2011
SOURCE
Federal Register (National Archives & Records Service, Office of;10/3/2011, Vol. 76 Issue 191, p61124
SOURCE TYPE
Government Documents
DOC. TYPE
Article
ABSTRACT
The article reports on the proposal of the Financial Industry Regulatory Authority (FINRA) to change the rule constituting the aggregation of activity of affiliated members for purposes of FINRA and NASDAQ Trade Reporting Policy (TRF) fees and credits in the U.S. It indicates that the rule will allow affiliated members to aggregate their activity under certain provisions of fee and credits. In addition, FINRA proposes to adopt a stated policy pertaining to the recognition of aggregation.
ACCESSION #
69931274

 

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