Regulatory Notice 13-12

FINRA Adopts Amendments Relating to Regulation NMS Plan to Address Extraordinary Market Volatility

 

Effective Date: April 8, 2013

Executive Summary

On April 8, 2013, Phase I of the joint industry Regulation NMS Plan to Address Extraordinary Market Volatility will be implemented. This Notice provides a brief overview of the plan and recent amendments to FINRA rules to facilitate implementation, operation and member firm compliance with the plan. FINRA has also published a set of frequently asked questions providing additional guidance.

 

The amended rule text is available at www.finra.org/notices/13-12.

 

Questions regarding this Notice may be directed to:

  • Market Regulation Legal Section at (240) 386-5126;
  • FINRA Operations at (866) 776-0800; or
  • Office of General Counsel at (202) 728-8071.