SR-FINRA-2009-061

Proposed Rule Change to Require Members to Report OTC Transactions in Equity Securities Within 30 Seconds of Execution

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA trade reporting rules to (1) require that members report over-the-counter (“OTC”) equity transactions to FINRA within 30 seconds of execution; (2) require that members report secondary market transactions in non-exchange-listed direct participation program (“DPP”) securities to FINRA within 30 seconds of execution; and (3) make certain conforming changes to the rules relating to the OTC Reporting Facility (“ORF”).

DateTitleFormat - SizeStatus
9/16/2009Text of Proposed Rule ChangePDF - 367.24 KB
10/30/2009Amendment No. 1 to Proposed Rule ChangePDF - 420.23 KB
11/17/2009Federal Register NoticePDF - 65.77 KB
12/14/2009Extension No. 1PDF - 19.68 KB
1/28/2010Extension No. 2PDF - 23.69 KB
2/25/2010Extension No. 3PDF - 19.44 KB
3/22/2010Amendment No. 2 and Response to CommentsPDF - 102.35 KB
4/7/2010Approval OrderPDF - 67.68 KB