Proposed Rule Change Relating to Trade Reporting Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions

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 reporting requirements applicable to over-the-counter (“OTC”) transfers of proprietary positions in debt and equity securities between a member and another member or non-member broker-dealer effected in connection with certain corporate control transactions.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 219.71 KB
Notice of Filing and Immediate EffectivenessPDF - 61.52 KB