Regulatory Notice 10-29
SEC Approves Amendments to Rules on Reporting Transactions to the OTC Reporting Facility; Effective Date: November 1, 2010
Effective Monday, November 1, 2010, firms must comply with amended rules on applicable trade report modifiers when reporting OTC transactions in non-NMS stocks to the OTC Reporting Facility.
The text of the amendments can be found at www.finra.org/rulefilings/2009-061.
Questions regarding this Notice may be directed to:
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