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