FINRA Tick Size Pilot Program Retail Investor Order Exception Attestation

FINRA Rule 6191(a)(7)((A)(iii) provides that any member for which FINRA is the DEA that operates a Trading Center and executes Retail Investor Orders must submit a signed attestation to FINRA that substantially all orders to be executed as Retail Investor Orders will qualify as such under the rule. The attestation form to be used is available below and should be completed and returned to FINRA, at ticksizepilot@finra.org, by September 26, 2016.