Proposed Rule Change Relating to Trade Reporting Transfers of Securities Pursuant to an Asset Purchase Agreement

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 FINRA trade reporting rules to codify the circumstances under which transfers of securities made pursuant to an asset purchase agreement are not subject to the reporting requirements applicable to over-the-counter transactions in debt and equity securities.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 83.66 KB
Notice of Filing and Immediate EffectivenessPDF - 68.89 KB