Proposed Rule Change to Amend Trade Reporting Rules to Require Related Market Center Indicator on Certain Non-Tape Reports Submitted to FINRA

Financial Industry Regulatory Authority, Inc. ("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 6130, 6130A, 6130C, 6130D and 6130E to require that on any non-tape (or clearing-only) report submitted to a FINRA Facility (i.e., the Alternative Display Facility ("ADF"), a Trade Reporting Facility ("TRF") or the OTC Reporting Facility ("ORF")) associated with a previously executed trade that was not reported to that same FINRA Facility, members must identify the facility or market where the associated trade was reported.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 89.35 KB
Extension No. 7PDF - 23.36 KB
Extension No. 8PDF - 23.36 KB
Extension No. 9PDF - 23.37 KB
Amendment No. 2 and Response to CommentsPDF - 68.25 KB
Extension No. 10PDF - 23.38 KB
Approval OrderPDF - 53.99 KB
Amendment No. 1 to Proposed Rule ChangePDF - 86.88 KB
Federal Register NoticePDF - 65.85 KB
Extension No. 1PDF - 23.33 KB
Extension No. 2PDF - 23.33 KB
Extension No. 3PDF - 23.34 KB
Extension No. 4PDF - 23.35 KB
Extension No. 5PDF - 19.69 KB
Extension No. 6PDF - 19.38 KB