Regulation
SR-FINRA-2009-054
Proposed Rule Change to Adopt FINRA Rules 6434, 6437, 6450 and 6460
Financial Industry Regulatory Authority, Inc. (“FINRA”) (f/k/a National Association of Securities Dealers, Inc. (“NASD”)) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt new FINRA Rules 6434 (Minimum Pricing Increment for OTC Equity Securities), 6437 (Prohibition from Locking or Crossing Quotations in OTC Equity Securities), 6450 (Restrictions on Access Fees) and 6460 (Display of Customer Limit Orders).
| Text of Proposed Rule Change | (PDF 261 KB) |
| Federal Register Notice | (PDF 65 KB) |
| Extension No. 1 | (PDF 20 KB) |
| Extension No. 2 | (PDF 24 KB) |
| Extension No. 3 | (PDF 24 KB) |
| Extension No. 4 | (PDF 20 KB) |
| Extension No. 5 | (PDF 24 KB) |
| Amendment No. 1 to Proposed Rule Change | (PDF 130 KB) |
| Extension No. 6 | (PDF 24 KB) |
| Notice of Filing of Amendment No. 1 | (PDF 65 KB) |
| Extension No. 7 | (PDF 24 KB) |
| Extension No. 8 | (PDF 24 KB) |
| Extension No. 9 | (PDF 24 KB) |
| Extension No. 10 | (PDF 24 KB) |
| Response to Comments | (PDF 43 KB) |
| Approval Order | (PDF 82 KB) |