Regulatory Notice 13-12
FINRA Adopts Amendments Relating to Regulation NMS Plan to Address Extraordinary Market Volatility
On April 8, 2013, Phase I of the joint industry Regulation NMS Plan to Address Extraordinary Market Volatility will be implemented. This Notice provides a brief overview of the plan and recent amendments to FINRA rules to facilitate implementation, operation and member firm compliance with the plan. FINRA has also published a set of frequently asked questions providing additional guidance.
Questions regarding this Notice may be directed to:
- Market Regulation Legal Section at (240) 386-5126;
- FINRA Operations at (866) 776-0800; or
- Office of General Counsel at (202) 728-8071.
|Date||Title||Format - Size|
|3/29/2015||Attachment to Regulatory Notice 13-12||PDF - 25.39 KB|