Proposed Rule Change Relating to Trade Reporting of OTC Equity Securities and Restricted 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 amend several rules regarding reporting obligations to the OTC Reporting Facility (“ORF”). Specifically, FINRA is proposing to (1) amend the FINRA ORF Rules and the PORTAL Rules (FINRA Rule 6630 Series) regarding the reporting requirements for restricted equity securities; (2) update the definition of “OTC Equity Security”; and (3) clarify member reporting obligations with respect to certain trades reported on or through an exchange. The proposed rule change would also make conforming changes to other FINRA rules.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 111.85 KB
Amendment No. 1 to Proposed Rule ChangePDF - 29.86 KB
Federal Register NoticePDF - 62 KB
Amendment No. 2 to Proposed Rule ChangePDF - 46.24 KB
Extension No. 1PDF - 23.77 KB
Extension No. 2PDF - 23.02 KB
Extension No. 3PDF - 23.03 KB
Extension No. 4PDF - 23.72 KB
Approval OrderPDF - 60.36 KB