Comments on FINRA Rulemaking

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Adopt a Waiver Process for the Continuing Membership Application Fee and Amend NASD Rules 1013 and 1017 to Provide for a Refund of the Application Fee for the Withdrawal of a New Member or Continuing Membership Application

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Date Received
Date Letter Type Commenter Name
Public Comment David T. Bellaire, Esq, Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2013-015
Release Number
34-68942
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