Regulatory Notice 10-07
SEC Approves Amendments to FINRA Rules on Reporting Cancellations of Previously Reported OTC Trades in Equity Securities; Effective Date: April 12, 2010
Effective Monday, April 12, 2010, firms are no longer prohibited from reporting trade cancellations to the FINRA/NASDAQ Trade Reporting Facility and the OTC Reporting Facility after 5:15 p.m. Eastern Time on trade date, as described more fully in this Notice. Firms are reminded that they must report the cancellation of any previously reported over-the-counter transaction in an equity security to FINRA, in accordance with FINRA trade reporting rules.
The text of the amendments is available at www.finra.org/rulefilings/2009-082.
Questions regarding this Notice may be directed to:
|View Full Notice||PDF 57 KB|