Archived Pre-Pilot Files

On September 2, 2016, the Listing Exchanges established the list of securities to be included as Pilot Securities for the Tick Size Pilot Plan (“Plan”). With respect to the data collection obligations of the Plan, the Participants have determined that the Pre-Pilot Data Collection Securities shall be used to satisfy the Plan’s data collection requirements until thirty days prior to the start of the Pilot Period, after which time the Pilot Securities shall be used for purposes of the data collection requirements. Accordingly, FINRA has archived the pre-pilot files, and as of September 3, 2016, FINRA and FINRA members should be using the Pilot Securities to comply with the data collection obligations of the Plan.

The last version of the pre-pilot files, effective September 2, 2016, are available for your reference:

The first pilot file, effective September 6, 2016, is available as well:

Additionally, the Pre-Pilot Securities file posted on March 8, 2016 is available for reference. 

If you have any questions, please call 1(800) 321-6273 or email us.