Regulatory Notice 16-26

FINRA Adopts Amendments Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility

Effective date: August 22, 2016

Executive Summary

On July 22, 2016, FINRA filed a rule change with the SEC to clarify the operation of the Regulation NMS Plan to Address Extraordinary Volatility (“LULD Plan”) following a trading pause or regulatory halt in a security subject to the LULD Plan. The rule text is available in the online FINRA Manual.

Questions regarding this Notice should be directed to:

  • FINRA Operations at (866) 776-0800; or
  • Office of General Counsel at (202) 728-8071.