Regulatory Notice 11-06

SEC Approves Consolidated FINRA Rule Governing Reporting Requirements

 

Effective Date: July 1, 2011

Executive Summary

The SEC approved FINRA’s proposal to adopt a rule governing reporting requirements for the consolidated FINRA rulebook. The new rule, FINRA Rule 4530, is based in large part on NASD Rule 3070, taking into account certain requirements under NYSE Rule 351.

 

The text of the new rule is set forth in Attachment A. The new event codes for batch reporting specified events via the Rule 4530 Application are set forth in Attachment B. The rule takes effect on July 1, 2011.

 

Questions regarding this Notice should be directed to Afshin Atabaki, Assistant General Counsel, Office of General Counsel, at (202) 728-8902.

 

Technical questions regarding the Rule 4530 Application, including testing, should be directed to the FINRA Help Desk, at (800) 321-6273 (if your question relates to testing, please indicate that your question is about a test system issue, and not an actual submission).