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SR-FINRA-2007-001 |
Proposed Rule Change to Amend NASD Rule 6952 Relating to the Reporting of Foreign Equity Securities to the Order Audit Trail System
FINRA (f/k/a the National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6952 to exclude certain orders and transactions in foreign equity securities from the Order Audit Trail System ("OATS") recording and reporting requirements.
