Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change relating to the publication of aggregate daily trading volume data for over-the-counter trades in NMS stocks that are executed within a FINRA member’s alternative trading system (“ATS”) dark pool and reported to a FINRA Trade Reporting Facility (“TRF”). The proposed rule change would amend FINRA Rule 6160 (Multiple MPIDs for Trade Reporting Facility Participants) to (1) require members that opt to have their trading data published to obtain and use a separate Market Participant Identifier (“MPID”) designated exclusively for reporting the member’s ATS dark pool transactions, and (2) adopt related Supplementary Material.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 79.31 KB
Federal Register NoticePDF - 60.45 KB
Extension No. 1PDF - 23.69 KB
Approval OrderPDF - 62.33 KB