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FINRA Proposes to Make Permanent the Limited Fee Waiver Pilot Program for TRACE Data

On October 3, the Financial Industry Regulatory Authority, Inc. proposed a rule change to FINRA Rule 7730(C)(1)(A) to adopt as permanent the pilot program to provide certain market participants with a one-month trial period...more

10/14/2014  /  Compliance , Fees , FINRA , TRACE

FINRA Changes Membership Application Fees

The Financial Industry Regulatory Authority announced that it will waive continuing membership application (CMA) fees when a CMA proposes minor changes that do not require substantial review by FINRA staff, such as certain...more

3/19/2013  /  Fees , FINRA
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