SR-FINRA-2011-058

Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the minimum quotation sizes in FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities).

Text of Proposed Rule Change (PDF 88 KB)
Federal Register Notice (PDF 157 KB)
Extension No. 1 (PDF 26 KB)
Response to Comments (PDF 404 KB)
Order Instituting Proceedings to Determine Whether to Disapprove (PDF 174 KB)
Extension No. 2 (PDF 26 KB)
Amendment No. 1 to Proposed Rule Change (PDF 86 KB)
Notice of Filing of Amendment No. 1 (PDF 201 KB)
Response to Comments (PDF 416 KB)
Amendment No. 2 to Propose Rule Change (PDF 387 KB)
Approval Order (PDF 255 KB)