Regulatory Notice 11-43

FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest

Comment Period Expired: October 21, 2011

FINRA requests comment on proposed amendments to FINRA Rule 5210 to require that member firms receive a customer order in a security before displaying a quotation or indication of interest (IOI) in a way that purports to represent that the quotation or IOI originated with a customer. Similarly, a firm could not continue to display a quotation or IOI as representing a customer order once the customer order was executed or cancelled.

The text of the proposed amendments is in Attachment A to this Notice.
Questions concerning this Notice should be directed to Brant K. Brown, Associate General Counsel, Office of General Counsel, at (202) 728-6927.

The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments: 
DateCommenterFormat - Size
10/11/2011Helvea Inc.PDF - 95.78 KB
10/18/2011Liquidnet, Inc.PDF - 799.04 KB
10/20/2011ITG Inc.PDF - 214.87 KB
10/21/2011Raptor Trading SystemsPDF - 86.41 KB
10/21/2011JMP SecuritiesPDF - 37.79 KB
10/21/2011Security Traders AssociationPDF - 132.81 KB
10/21/2011STANYPDF - 324.86 KB
10/21/2011Capital Research and Management CompanyPDF - 138.71 KB
11/9/2011SIFMAPDF - 109.68 KB