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Regulation & law · 13/11/20261 min read

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the FINRA By-Laws, the FINRA Regulation By-Laws, the Plan of Allocation and Delegation of Functions by FINRA to Subsidiaries, FINRA's Restated Certificate of Incorporation, and FINRA Rule 5110

Summary

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the FINRA By-Laws, the FINRA Regulation By-Laws, the Plan of Allocation and Delegation of Functions by FINRA to Subsidiaries, FINRA's Restated Certificate of Incorporation, and FINRA Rule 5110.

Original source language: Federal Register — SECOpen original release →

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Regulation & law · 11/10/2026

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 3.291 (Influencing or Rewarding Employees of Others; Gratuities), To Conform to the Rules of FINRA for Purposes of an Agreement Between the Exchange and FINRA Pursuant To Rule 17d-2 Under the Act

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 3.291 (Influencing or Rewarding Employees of Others; Gratuities), To Conform to the Rules of FINRA for Purposes of an Agreement Between the Exchange and FINRA Pursuant To Rule 17d-2 Under the Act.

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Regulation & law · 11/13/2026

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fees at Equity 7, To Establish an Optional Nasdaq PSX Monthly Subscription Fee Program

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fees at Equity 7, To Establish an Optional Nasdaq PSX Monthly Subscription Fee Program.

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