SR-FINRA-2009-054

Proposed Rule Change to Adopt FINRA Rules 6434, 6437, 6450 and 6460

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 adopt new FINRA Rules 6434 (Minimum Pricing Increment for OTC Equity Securities), 6437 (Prohibition from Locking or Crossing Quotations in OTC Equity Securities), 6450 (Restrictions on Access Fees) and 6460 (Display of Customer Limit Orders).

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 260.1 KB
Notice of Filing of Amendment No. 1PDF - 70.55 KB
Extension No. 7PDF - 19.44 KB
Extension No. 8PDF - 23.71 KB
Extension No. 9PDF - 23.72 KB
Extension No. 10PDF - 23.72 KB
Response to CommentsPDF - 42.94 KB
Approval OrderPDF - 81.68 KB
Federal Register NoticePDF - 64.53 KB
Extension No. 1PDF - 19.76 KB
Extension No. 2PDF - 23.4 KB
Extension No. 3PDF - 23.72 KB
Extension No. 4PDF - 19.74 KB
Extension No. 5PDF - 19.75 KB
Amendment No. 1 to Proposed Rule ChangePDF - 129.55 KB
Extension No. 6PDF - 23.72 KB