Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA rules governing the reporting of (i) over-the-counter (“OTC”) transactions in equity securities to the FINRA Facilities; and (ii) orders in NMS stocks and OTC Equity Securities to the Order Audit Trail System (“OATS”).
|Text of Proposed Rule Change||(PDF 193 KB)|
|Federal Register Notice||(PDF 221 KB)|
|Notice of Designation of Longer Period for Commission Action||(PDF 172 KB)|
|Response to Comments||(PDF 1,584 KB)|
|Amendment No. 1 to Proposed Rule Change||(PDF 128 KB)|
|Approval Order||(PDF 213 KB)|
|Approval Order (Correction)||(PDF 190 KB)|