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janice shell

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Re: stlsmitty post# 192960

Wednesday, 06/04/2014 1:41:45 AM

Wednesday, June 04, 2014 1:41:45 AM

Post# of 232508
What and how does FINRA collect from companies? It has no jurisdiction over companies; only over broker-dealers.

It does deal with Forms 211 and process corporate action requests. It collects fees for the corporate action requests, but they're not large, unless the company chooses to file late.
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