Proposed Rule Change to Amend FINRA's NYSE Rule 409(f) Regarding Confirmations

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 New York Stock Exchange ("NYSE") Rule 409(f) to delete the requirement that certain confirmations and reports include the name of the securities market on which a transaction is effected.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 56.58 KB
Notice of Filing and Immediate EffectivenessPDF - 65.8 KB