SR-FINRA-2009-077

Proposed Rule Change to Restructure Quotation Collection and Dissemination for OTC Equity Securities

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 restructure quotation collection and dissemination for OTC Equity Securities.

DateTitleFormat - SizeStatus
11/9/2009Text of Proposed Rule ChangePDF - 343.07 KB
11/23/2009Federal Register NoticePDF - 64.72 KB
12/22/2009Extension No. 1PDF - 23.4 KB
2/5/2010Extension No. 2PDF - 23.4 KB
3/1/2010Extension No. 3PDF - 19.75 KB
3/16/2010Extension No. 4PDF - 23.68 KB
3/18/2010Response to CommentsPDF - 59.7 KB
3/16/2010Amendment No. 1 to Proposed Rule ChangePDF - 99.5 KB
4/5/2010Extension No. 5PDF - 23.03 KB
5/3/2010Extension No. 6PDF - 23.68 KB
6/4/2010Extension No. 7PDF - 23.73 KB
7/2/2010Extension No. 8PDF - 23.72 KB
7/29/2010Extension No. 9PDF - 27.44 KB
8/31/2010Extension No. 10PDF - 23.49 KB
10/1/2010Extension No. 11PDF - 27.44 KB
10/21/2010Extension No. 12PDF - 27.46 KB
11/19/2010Extension No. 13PDF - 31.22 KB
12/10/2010Extension No. 14PDF - 27.16 KB
1/10/2011Extension No. 15PDF - 27.2 KB
2/4/2011Extension No. 16PDF - 27.2 KB
2/24/2011Extension No. 17PDF - 27.2 KB
3/11/2011Extension No. 18PDF - 27.24 KB
3/23/2011Extension No. 19PDF - 27.2 KB
4/7/2011Extension No. 20PDF - 26 KB
5/5/2011Extension No. 21PDF - 25.95 KB
6/3/2011Extension No. 22PDF - 25.96 KB
7/8/2011Extension No. 23PDF - 25.96 KB
8/5/2011Extension No. 24PDF - 25.94 KB
9/2/2011Extension No. 25PDF - 30.04 KB
9/28/2011Extension No. 26PDF - 25.96 KB
11/4/2011Extension No. 27PDF - 25.95 KB
11/30/2011Extension No. 28PDF - 22.02 KB
1/9/2012Extension No. 29PDF - 25.95 KB
2/8/2012Extension No. 30PDF - 25.96 KB
3/8/2012Extension No. 31PDF - 25.96 KB
4/4/2012Extension No. 32PDF - 25.94 KB
5/1/2012Extension No. 33PDF - 25.95 KB
6/15/2012Extension No. 34PDF - 25.31 KB
7/11/2012Extension No. 35PDF - 25.1 KB
8/10/2012Extension No. 36PDF - 25.1 KB
9/7/2012Extension No. 37PDF - 25.1 KB
10/5/2012Extension No. 38PDF - 25.1 KB
11/1/2012Extension No. 39PDF - 25.1 KB
1/9/2013Extension No. 40PDF - 22.94 KB
2/14/2013Extension No. 41PDF - 27.05 KB
2/14/2013Extension No. 42PDF - 27.05 KB
5/2/2013Extension No. 43PDF - 27.06 KB
6/13/2013Extension No. 44PDF - 22.94 KB
7/18/2013Extension No. 45PDF - 22.81 KB
8/22/2013Extension No. 46PDF - 27.04 KB
8/22/2013Extension No. 47PDF - 27.05 KB
8/22/2013Extension No. 48PDF - 22.94 KB
1/9/2014Extension No. 49PDF - 54.18 KB
3/6/2014Extension No. 50PDF - 51.7 KB
4/30/2014Extension No. 51PDF - 97.14 KB
4/30/2014Extension No. 52 PDF - 52.74 KB
9/30/2014Extension No. 53PDF - 51.67 KB
11/5/2014Extension No. 54PDF - 65.61 KB
2/11/2015Extension No. 55PDF - 55.06 KB