Proposed Rule Change to Align the Reporting Requirements and Dissemination Protocols for Over-the-Counter (OTC) Equity Transactions Involving Foreign Securities With all Other OTC Equity Securities

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 (1) to amend NASD Rule 6620 to align the reporting requirements for over-the-counter (“OTC”) equity transactions involving foreign securities with the reporting requirements for other OTC equity transactions and (2) to align the dissemination protocols for all last sale reports of OTC equity transactions.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 1.11 MB
Amendment No. 1 to Proposed Rule ChangePDF - 21.65 KB
Federal Register NoticePDF - 65.9 KB
Extension No. 1PDF - 27.34 KB
Approval OrderPDF - 58.77 KB