Proposed Rule Change Relating to the Extension of a Pilot Program Under Trade Reporting and Compliance Engine

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 extend the pilot program in FINRA Rule 6730(e)(4) (formerly NASD Rule 6230(e)(4)) to January 7, 2011, and incorporate a reference to current New York Stock Exchange ("NYSE") Rule 86. The pilot program exempts from reporting to Trade Reporting and Compliance Engine ("TRACE") transactions in TRACE-eligible securities that are executed on a facility of the NYSE in accordance with NYSE Rules 1400 and 1401 and reported to NYSE in accordance with NYSE's applicable trade reporting rules and disseminated publicly by NYSE.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 59.16 KB
Notice of Filing and Immediate EffectivenessPDF - 56.32 KB