Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate the Transaction Query Fee for the FINRA/Nasdaq TRF, 7883-7884 [2022-02784]
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Federal Register / Vol. 87, No. 28 / Thursday, February 10, 2022 / Notices
Commission (‘‘Commission’’), pursuant
to Section 19(b)(1) of the Securities
Exchange Act of 1934 (‘‘Act’’),1 and
Rule 19b–4 thereunder,2 a proposed rule
change to amend the Exchange’s Fee
Schedule to adopt a tiered pricing
structure for certain connectivity fees.
The proposed rule change was
immediately effective upon filing with
the Commission pursuant to Section
19(b)(3)(A) of the Act.3 The proposed
rule change was published for comment
in the Federal Register on December 20,
2021.4 On January 27, 2022, the
Commission temporarily suspended the
proposed rule change and instituted
proceedings under Section 19(b)(2)(B) of
the Act 5 to determine whether to
approve or disapprove the proposed
rule change.6 On Febraury 1, 2022, the
Exchange withdrew the proposed rule
change (SR–EMERALD–2021–42).
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.7
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2022–02786 Filed 2–9–22; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–94156; File No. SR–FINRA–
2022–002]
Self-Regulatory Organizations;
Financial Industry Regulatory
Authority, Inc.; Notice of Filing and
Immediate Effectiveness of a Proposed
Rule Change To Eliminate the
Transaction Query Fee for the FINRA/
Nasdaq TRF
February 4, 2022.
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934
(‘‘Act’’) 1 and Rule 19b–4 thereunder,2
notice is hereby given that on January
31, 2022, the Financial Industry
Regulatory Authority, Inc. (‘‘FINRA’’)
filed with the Securities and Exchange
Commission (‘‘Commission’’) the
1 15
U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 15 U.S.C. 78s(b)(3)(A). A proposed rule change
may take effect upon filing with the Commission if
it is designated by the exchange as ‘‘establishing or
changing a due, fee, or other charge imposed by the
self-regulatory organization on any person, whether
or not the person is a member of the self-regulatory
organization.’’ 15 U.S.C. 78s(b)(3)(A)(ii).
4 See Securities Exchange Act Release No. 93776
(December 14, 2021), 86 FR 71983.
5 15 U.S.C. 78s(b)(2)(B).
6 See Securities Exchange Act Release No. 94089,
87 FR 5910 (February 2, 2022).
7 17 CFR 200.30–3(a)(12).
1 15 U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
jspears on DSK121TN23PROD with NOTICES1
2 17
VerDate Sep<11>2014
18:18 Feb 09, 2022
Jkt 256001
proposed rule change as described in
Items I, II, and III below, which Items
have been prepared by FINRA. The
Commission is publishing this notice to
solicit comments on the proposed rule
change from interested persons.
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
FINRA is proposing to amend FINRA
Rule 7620A (FINRA/Nasdaq Trade
Reporting Facility Reporting Fees) to
modify the query fee applicable to nonretail participants that use the FINRA/
Nasdaq Trade Reporting Facility
Carteret (the ‘‘FINRA/Nasdaq TRF
Carteret’’) and the FINRA/Nasdaq Trade
Reporting Facility Chicago (the ‘‘FINRA/
Nasdaq TRF Chicago’’) (collectively, the
‘‘FINRA/Nasdaq TRF’’).
The text of the proposed rule change
is available on FINRA’s website at
https://www.finra.org, at the principal
office of FINRA and at the
Commission’s Public Reference Room.
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission,
FINRA included statements concerning
the purpose of and basis for the
proposed rule change and discussed any
comments it received on the proposed
rule change. The text of these statements
may be examined at the places specified
in Item IV below. FINRA has prepared
summaries, set forth in sections A, B,
and C below, of the most significant
aspects of such statements.
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
1. Purpose
The FINRA/Nasdaq TRF is a facility
of FINRA that is operated by Nasdaq,
Inc. (‘‘Nasdaq’’). In connection with the
establishment of the FINRA/Nasdaq
TRF, FINRA and Nasdaq entered into a
limited liability company agreement
(the ‘‘LLC Agreement’’). Under the LLC
Agreement, FINRA, the ‘‘SRO Member,’’
has sole regulatory responsibility for the
FINRA/Nasdaq TRF. Nasdaq, the
‘‘Business Member,’’ is primarily
responsible for the management of the
FINRA/Nasdaq TRF’s business affairs,
including establishing pricing for use of
the FINRA/Nasdaq TRF, to the extent
those affairs are not inconsistent with
the regulatory and oversight functions of
FINRA. Additionally, the Business
Member is obligated to pay the cost of
regulation and is entitled to the profits
PO 00000
Frm 00086
Fmt 4703
Sfmt 4703
7883
and losses, if any, derived from the
operation of the FINRA/Nasdaq TRF.
Pursuant to FINRA Rule 7620A
(‘‘Rule’’), FINRA/Nasdaq TRF
participants that do not constitute Retail
Participants 3 (such non-Retail
Participants are referred to herein as
‘‘Participants’’) must pay a $0.50/query
fee for each FINRA/Nasdaq TRF
transaction query. FINRA members use
WebLink ACT/Nasdaq Workstation Post
Trade (‘‘WebLink’’) 4, Act Workstation
(‘‘Workstation’’) 5, and Nasdaq
WorkXTM (‘‘WorkX’’) 6 in connection
with FINRA/Nasdaq TRF reporting.7
According to the Business Member,
these products permit members to
perform data searches on reported
transactions, which members use to
monitor large volumes of data in
furtherance of performing their
regulatory responsibilities.
Nasdaq administers this Rule in its
capacity as the Business Member and
operator of the FINRA/Nasdaq TRF on
behalf of FINRA,8 and Nasdaq collects
all fees on behalf of the FINRA/Nasdaq
TRF. Nasdaq has determined to modify
the current schedule of fees by removing
the 0.50/query fee applicable to FINRA/
Nasdaq TRF transaction queries
performed using WebLink, Workstation,
and WorkX, and FINRA is proposing to
amend the Rule accordingly. Nasdaq has
determined to eliminate this fee to allow
users to make maximum use of the
query tool available in WebLink,
3 ‘‘Retail Participants,’’ as that term is defined in
Supplementary Material .01 to Rule 7620A, is ‘‘a
participant in the FINRA/Nasdaq Trade Reporting
Facility for which substantially all of its trade
reporting activity on the FINRA/Nasdaq Trade
Reporting Facility comprises Retail Orders.’’
4 WebLink ACT is a browser-based application
that electronically facilitates trade reporting and
clearing functions for trades reported to the FINRA/
Nasdaq Trade Reporting Facility.
5 Workstation is a web-based application that
electronically facilitates trade reporting and
clearing functions for trades reported to the FINRA/
Nasdaq TRF. Workstation services include trade
entry, trade scan, and uploads for bulk trade entry
to support FINRA/Nasdaq TRF participant trade
reporting in accordance with FINRA rules.
6 WorkX is a re-platformed version of Workstation
that simplifies regulatory responsibilities and
enhances the user experience with improved
workflow, system performance, and data
visualization. WorkX also upgrades trade reporting
and monitoring with a modern user interface using
cloud-based technology. FINRA rules and FINRA/
Nasdaq Trade Reporting Facility system processing
are unchanged.
7 FINRA notes that firms reporting to the FINRA/
Nasdaq TRF pay Nasdaq associated user fees for
WebLink, Workstation, and WorkX under Nasdaq
rules. See, e.g., Equity 7 Pricing Schedule, Section
115(e) of the Nasdaq Rule.
8 FINRA’s oversight of this function performed by
the Business Member is conducted through a
recurring assessment and review of TRF operations
by an outside independent audit firm.
E:\FR\FM\10FEN1.SGM
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7884
Federal Register / Vol. 87, No. 28 / Thursday, February 10, 2022 / Notices
Workstation, and WorkX, thereby
supporting member compliance efforts.
FINRA has filed the proposed rule
change for immediate effectiveness. The
operative date will be February 1, 2022.
2. Statutory Basis
FINRA believes that the proposed rule
change is consistent with the provisions
of Section 15A(b)(5) of the Act,9 which
requires, among other things, that
FINRA rules provide for the equitable
allocation of reasonable dues, fees and
other charges among members and
issuers and other persons using any
facility or system that FINRA operates
or controls.
FINRA believes that the proposed rule
change is reasonable because it
eliminates the existing query feepermitting members to use the tool
without incurring a separate charge.
FINRA believes that the proposal is an
equitable allocation of reasonable fees
and is not unfairly discriminatory
because removal of the query fee applies
equally to all users of WebLink,
Workstation, and WorkX, and it
eliminates any impediment to users
freely utilizing the query functionreducing members’ costs associated
with monitoring trade reporting activity
and satisfying regulatory
responsibilities. Moreover, participation
in the FINRA/Nasdaq TRF is voluntary,
as is the use of the query feature.
B. Self-Regulatory Organization’s
Statement on Burden on Competition
FINRA does not believe that the
proposed rule changes will result in any
burden on competition that is not
necessary or appropriate in furtherance
of the purposes of the Act.
Regulatory Need
As discussed above, Nasdaq believes
that eliminating this fee will increase
the usability of the query tool. Nasdaq
believes it is beneficial for users to be
able to perform unlimited queries of
their trade history at no cost in support
of meeting their regulatory
responsibilities.
jspears on DSK121TN23PROD with NOTICES1
Economic Baseline
From October 2020 to September
2021, on average, approximately 200
Participants paid on average $200 per
month in WebLink, Workstation, and
WorkX query charges.10
18:18 Feb 09, 2022
Jkt 256001
No other alternatives were considered
for the proposed rule change.
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants, or Others
No written comments were either
solicited or received.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
The foregoing rule change has become
effective pursuant to Section 19(b)(3)(A)
of the Act 12 and paragraph (f)(2) of Rule
19b–4 thereunder.13 At any time within
60 days of the filing of the proposed rule
change, the Commission summarily may
temporarily suspend such rule change if
it appears to the Commission that such
action is necessary or appropriate in the
public interest, for the protection of
investors, or otherwise in furtherance of
the purposes of the Act. If the
Commission takes such action, the
Commission shall institute proceedings
to determine whether the proposed rule
should be approved or disapproved.
Interested persons are invited to
submit written data, views, and
arguments concerning the foregoing,
including whether the proposed rule
change is consistent with the Act.
Comments may be submitted by any of
the following methods:
U.S.C. 78o–3(b)(5).
10 From October 2020 to September 2021, 303
Participants were charged WebLink, Workstation, or
WorkX query fees for scan searches.
VerDate Sep<11>2014
Alternatives Considered
IV. Solicitation of Comments
Economic Impacts
The proposed rule change would
eliminate query charges to all firms
9 15
using WebLink, Workstation, and
WorkX services.11 The number of firms
charged query fees each month varies
based on the level of product usage and
scans by individual subscribers.
Assuming that, going forward, these
same Participants maintain their
existing levels of query activity, they
stand to save on average $200 per month
in query charges.
The potential net impact of the
proposed rule change depends on
whether Participants alter their query
activity as a result of the proposed rule
change. Thus, Participants who
continue to perform queries in line with
prior usage will reap corresponding
benefits. However, to the extent that the
proposed rule change results in
Participants performing more queries,
then the potential net benefit will be
greater.
11 This discussion of economic impacts does not
relate to any fee other than the $0.50/query fee that
is proposed to be eliminated in the instant filing.
12 15 U.S.C. 78s(b)(3)(A).
13 17 CFR 240.19b–4(f)(2).
PO 00000
Frm 00087
Fmt 4703
Sfmt 9990
Electronic Comments
• Use the Commission’s internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an email to rule-comments@
sec.gov. Please include File Number SR–
FINRA–2022–002 on the subject line.
Paper Comments
• Send paper comments in triplicate
to Secretary, Securities and Exchange
Commission, 100 F Street NE,
Washington, DC 20549–1090.
All submissions should refer to File
Number SR–FINRA–2022–002. This file
number should be included on the
subject line if email is used. To help the
Commission process and review your
comments more efficiently, please use
only one method. The Commission will
post all comments on the Commission’s
internet website (https://www.sec.gov/
rules/sro.shtml). Copies of the
submission, all subsequent
amendments, all written statements
with respect to the proposed rule
change that are filed with the
Commission, and all written
communications relating to the
proposed rule change between the
Commission and any person, other than
those that may be withheld from the
public in accordance with the
provisions of 5 U.S.C. 552, will be
available for website viewing and
printing in the Commission’s Public
Reference Room, 100 F Street NE,
Washington, DC 20549, on official
business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of such
filing also will be available for
inspection and copying at the principal
office of FINRA. All comments received
will be posted without change. Persons
submitting comments are cautioned that
we do not redact or edit personal
identifying information from comment
submissions. You should submit only
information that you wish to make
available publicly.
All submissions should refer to File
Number SR–FINRA–2022–002 and
should be submitted on or before March
3, 2022.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.14
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2022–02784 Filed 2–9–22; 8:45 am]
BILLING CODE 8011–01–P
14 17
E:\FR\FM\10FEN1.SGM
CFR 200.30–3(a)(12).
10FEN1
]]>Agencies
[Federal Register Volume 87, Number 28 (Thursday, February 10, 2022)]
[Notices]
[Pages 7883-7884]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-02784]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-94156; File No. SR-FINRA-2022-002]
Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing and Immediate Effectiveness of a
Proposed Rule Change To Eliminate the Transaction Query Fee for the
FINRA/Nasdaq TRF
February 4, 2022.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on January 31, 2022, the Financial Industry Regulatory Authority, Inc.
(``FINRA'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I, II,
and III below, which Items have been prepared by FINRA. The Commission
is publishing this notice to solicit comments on the proposed rule
change from interested persons.
---------------------------------------------------------------------------
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------
I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change
FINRA is proposing to amend FINRA Rule 7620A (FINRA/Nasdaq Trade
Reporting Facility Reporting Fees) to modify the query fee applicable
to non-retail participants that use the FINRA/Nasdaq Trade Reporting
Facility Carteret (the ``FINRA/Nasdaq TRF Carteret'') and the FINRA/
Nasdaq Trade Reporting Facility Chicago (the ``FINRA/Nasdaq TRF
Chicago'') (collectively, the ``FINRA/Nasdaq TRF'').
The text of the proposed rule change is available on FINRA's
website at https://www.finra.org, at the principal office of FINRA and
at the Commission's Public Reference Room.
II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change
In its filing with the Commission, FINRA included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. FINRA has prepared summaries, set forth in sections A,
B, and C below, of the most significant aspects of such statements.
A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change
1. Purpose
The FINRA/Nasdaq TRF is a facility of FINRA that is operated by
Nasdaq, Inc. (``Nasdaq''). In connection with the establishment of the
FINRA/Nasdaq TRF, FINRA and Nasdaq entered into a limited liability
company agreement (the ``LLC Agreement''). Under the LLC Agreement,
FINRA, the ``SRO Member,'' has sole regulatory responsibility for the
FINRA/Nasdaq TRF. Nasdaq, the ``Business Member,'' is primarily
responsible for the management of the FINRA/Nasdaq TRF's business
affairs, including establishing pricing for use of the FINRA/Nasdaq
TRF, to the extent those affairs are not inconsistent with the
regulatory and oversight functions of FINRA. Additionally, the Business
Member is obligated to pay the cost of regulation and is entitled to
the profits and losses, if any, derived from the operation of the
FINRA/Nasdaq TRF.
Pursuant to FINRA Rule 7620A (``Rule''), FINRA/Nasdaq TRF
participants that do not constitute Retail Participants \3\ (such non-
Retail Participants are referred to herein as ``Participants'') must
pay a $0.50/query fee for each FINRA/Nasdaq TRF transaction query.
FINRA members use WebLink ACT/Nasdaq Workstation Post Trade
(``WebLink'') \4\, Act Workstation (``Workstation'') \5\, and Nasdaq
WorkX\TM\ (``WorkX'') \6\ in connection with FINRA/Nasdaq TRF
reporting.\7\ According to the Business Member, these products permit
members to perform data searches on reported transactions, which
members use to monitor large volumes of data in furtherance of
performing their regulatory responsibilities.
---------------------------------------------------------------------------
\3\ ``Retail Participants,'' as that term is defined in
Supplementary Material .01 to Rule 7620A, is ``a participant in the
FINRA/Nasdaq Trade Reporting Facility for which substantially all of
its trade reporting activity on the FINRA/Nasdaq Trade Reporting
Facility comprises Retail Orders.''
\4\ WebLink ACT is a browser-based application that
electronically facilitates trade reporting and clearing functions
for trades reported to the FINRA/Nasdaq Trade Reporting Facility.
\5\ Workstation is a web-based application that electronically
facilitates trade reporting and clearing functions for trades
reported to the FINRA/Nasdaq TRF. Workstation services include trade
entry, trade scan, and uploads for bulk trade entry to support
FINRA/Nasdaq TRF participant trade reporting in accordance with
FINRA rules.
\6\ WorkX is a re-platformed version of Workstation that
simplifies regulatory responsibilities and enhances the user
experience with improved workflow, system performance, and data
visualization. WorkX also upgrades trade reporting and monitoring
with a modern user interface using cloud-based technology. FINRA
rules and FINRA/Nasdaq Trade Reporting Facility system processing
are unchanged.
\7\ FINRA notes that firms reporting to the FINRA/Nasdaq TRF pay
Nasdaq associated user fees for WebLink, Workstation, and WorkX
under Nasdaq rules. See, e.g., Equity 7 Pricing Schedule, Section
115(e) of the Nasdaq Rule.
---------------------------------------------------------------------------
Nasdaq administers this Rule in its capacity as the Business Member
and operator of the FINRA/Nasdaq TRF on behalf of FINRA,\8\ and Nasdaq
collects all fees on behalf of the FINRA/Nasdaq TRF. Nasdaq has
determined to modify the current schedule of fees by removing the 0.50/
query fee applicable to FINRA/Nasdaq TRF transaction queries performed
using WebLink, Workstation, and WorkX, and FINRA is proposing to amend
the Rule accordingly. Nasdaq has determined to eliminate this fee to
allow users to make maximum use of the query tool available in WebLink,
[[Page 7884]]
Workstation, and WorkX, thereby supporting member compliance efforts.
---------------------------------------------------------------------------
\8\ FINRA's oversight of this function performed by the Business
Member is conducted through a recurring assessment and review of TRF
operations by an outside independent audit firm.
---------------------------------------------------------------------------
FINRA has filed the proposed rule change for immediate
effectiveness. The operative date will be February 1, 2022.
2. Statutory Basis
FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A(b)(5) of the Act,\9\ which requires, among
other things, that FINRA rules provide for the equitable allocation of
reasonable dues, fees and other charges among members and issuers and
other persons using any facility or system that FINRA operates or
controls.
---------------------------------------------------------------------------
\9\ 15 U.S.C. 78o-3(b)(5).
---------------------------------------------------------------------------
FINRA believes that the proposed rule change is reasonable because
it eliminates the existing query fee-permitting members to use the tool
without incurring a separate charge. FINRA believes that the proposal
is an equitable allocation of reasonable fees and is not unfairly
discriminatory because removal of the query fee applies equally to all
users of WebLink, Workstation, and WorkX, and it eliminates any
impediment to users freely utilizing the query function-reducing
members' costs associated with monitoring trade reporting activity and
satisfying regulatory responsibilities. Moreover, participation in the
FINRA/Nasdaq TRF is voluntary, as is the use of the query feature.
B. Self-Regulatory Organization's Statement on Burden on Competition
FINRA does not believe that the proposed rule changes will result
in any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act.
Regulatory Need
As discussed above, Nasdaq believes that eliminating this fee will
increase the usability of the query tool. Nasdaq believes it is
beneficial for users to be able to perform unlimited queries of their
trade history at no cost in support of meeting their regulatory
responsibilities.
Economic Baseline
From October 2020 to September 2021, on average, approximately 200
Participants paid on average $200 per month in WebLink, Workstation,
and WorkX query charges.\10\
---------------------------------------------------------------------------
\10\ From October 2020 to September 2021, 303 Participants were
charged WebLink, Workstation, or WorkX query fees for scan searches.
---------------------------------------------------------------------------
Economic Impacts
The proposed rule change would eliminate query charges to all firms
using WebLink, Workstation, and WorkX services.\11\ The number of firms
charged query fees each month varies based on the level of product
usage and scans by individual subscribers. Assuming that, going
forward, these same Participants maintain their existing levels of
query activity, they stand to save on average $200 per month in query
charges.
---------------------------------------------------------------------------
\11\ This discussion of economic impacts does not relate to any
fee other than the $0.50/query fee that is proposed to be eliminated
in the instant filing.
---------------------------------------------------------------------------
The potential net impact of the proposed rule change depends on
whether Participants alter their query activity as a result of the
proposed rule change. Thus, Participants who continue to perform
queries in line with prior usage will reap corresponding benefits.
However, to the extent that the proposed rule change results in
Participants performing more queries, then the potential net benefit
will be greater.
Alternatives Considered
No other alternatives were considered for the proposed rule change.
C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others
No written comments were either solicited or received.
III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action
The foregoing rule change has become effective pursuant to Section
19(b)(3)(A) of the Act \12\ and paragraph (f)(2) of Rule 19b-4
thereunder.\13\ At any time within 60 days of the filing of the
proposed rule change, the Commission summarily may temporarily suspend
such rule change if it appears to the Commission that such action is
necessary or appropriate in the public interest, for the protection of
investors, or otherwise in furtherance of the purposes of the Act. If
the Commission takes such action, the Commission shall institute
proceedings to determine whether the proposed rule should be approved
or disapproved.
---------------------------------------------------------------------------
\12\ 15 U.S.C. 78s(b)(3)(A).
\13\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------
IV. Solicitation of Comments
Interested persons are invited to submit written data, views, and
arguments concerning the foregoing, including whether the proposed rule
change is consistent with the Act. Comments may be submitted by any of
the following methods:
Electronic Comments
Use the Commission's internet comment form (https://www.sec.gov/rules/sro.shtml); or
Send an email to [email protected]. Please include
File Number SR-FINRA-2022-002 on the subject line.
Paper Comments
Send paper comments in triplicate to Secretary, Securities
and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090.
All submissions should refer to File Number SR-FINRA-2022-002. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (https://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of such filing also will be available for inspection
and copying at the principal office of FINRA. All comments received
will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly.
All submissions should refer to File Number SR-FINRA-2022-002 and
should be submitted on or before March 3, 2022.
---------------------------------------------------------------------------
\14\ 17 CFR 200.30-3(a)(12).
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\14\
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2022-02784 Filed 2-9-22; 8:45 am]
BILLING CODE 8011-01-P
