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.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 106.13 KB
Federal Register NoticePDF - 56.63 KB
Extension No. 1PDF - 27.46 KB
Response to CommentsPDF - 599.74 KB
Approval OrderPDF - 63.58 KB