SR-FINRA-2007-001

Proposed Rule Change to Amend NASD Rule 6952 to Exclude Certain Orders and Transactions in Foreign Equity Securities from the Order Audit Trail System Recording and Reporting Requirements

FINRA (f/k/a the National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6952 to exclude certain orders and transactions in foreign equity securities from the Order Audit Trail System ("OATS") recording and reporting requirements.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 70.9 KB
Federal Register NoticePDF - 63.95 KB
Approval OrderPDF - 51.56 KB