Proposed Rule Change to Amend NASD Rules 4632C, 6130C and 6130

FINRA (f/k/a 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 Rules 4632C and 6130C relating to the NASD/NSX Trade Reporting Facility to reflect certain changes in the facility's functionality and to conform, to the extent practicable, to the trade reporting rules relating to FINRA's other Trade Reporting Facilities. FINRA also is proposing to amend NASD Rule 6130(a) to clarify that the NASD/Nasdaq Trade Reporting Facility and the OTC Reporting Facility will compare and submit to the National Securities Clearing Corporation (“NSCC”) trades reported as other than regular way settlement.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 72.05 KB
Notice of Filing and Immediate EffectivenessPDF - 55.71 KB