Proposed Rule Change to Amend FINRA Rule 7470

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 Rule 7470 to revise the criteria necessary to qualify for an exemption from the order recording and data transmission requirements in the Order Audit Trail System ("OATS") Rules for manual orders.

DateTitleFormat - SizeStatus
1/7/2009Text of Proposed Rule ChangePDF - 60.31 KB
1/16/2009Amendment No. 1 to Proposed Rule ChangePDF - 25.6 KB
2/2/2009Notice of Filing and Immediate EffectivenessPDF - 55.25 KB