Proposed Rule Change to Reinstitute Short Exempt Marking for Trade Reporting and OATS

Financial Industry Regulatory Authority, Inc.(“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA’s trade reporting and Order Audit Trail System (“OATS”) rules, including changes relating to recent amendments to SEC Regulation SHO.

DateTitleFormat - SizeStatus
8/6/2010Text of Proposed Rule ChangePDF - 106.13 KB
8/26/2010Federal Register NoticePDF - 56.63 KB
9/20/2010Extension No. 1PDF - 27.46 KB
9/28/2010Response to CommentsPDF - 599.74 KB
10/8/2010Approval OrderPDF - 63.58 KB