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Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Historical Consolidated Audit Trail Recovery Assessment

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2024-014

View Received Comments

Last Reviewed or Updated: Oct. 4, 2024

Resources

Notice Rule: SEC Issued Version (pdf 230.66 KB)

Exhibit 5

Details

Public Comments Due

Oct. 15, 2024

File Number

SR-FINRA-2024-014

Rule Type

Notice

Release Number

34-101064

SEC Issue Date

Sept. 17, 2024

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Historical Consolidated Audit Trail Recovery Assessment

Public Comments

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Historical Consolidated Audit Trail Recovery Assessment

Public Comments

Resources

Details