Regulatory Notice 10-42
SEC Approves Amendments to Establish Regulation NMS-Principled Rules in Market for OTC Equity Securities
Effective Dates: FINRA Rules 6434, 6437 and 6450: February 11, 2011; FINRA Rule 6460 and NASD Rule 2320: May 9, 2011
Effective February 11, 2011, and May 9, 2011, are new FINRA rules that extend certain Regulation NMS protections to quoting and trading of over-the-counter (OTC) Equity Securities. For OTC Equity Securities, these new rules:
The text of the amendments can be found in the FINRA Manual at www.finra.org/finramanual.
Questions regarding this Notice should be directed to Racquel Russell, Assistant General Counsel, Office of General Counsel, at (202) 728-8363.
|View Full Notice||PDF 120 KB|