Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 7410 to extend the recording and reporting requirements in FINRA’s Order Audit Trail System (“OATS”) Rules to include all NMS stocks and to exclude certain FINRA members from the definition of “Reporting Member.” The proposed rule change also amends FINRA Rule 7470 to conform the OATS exemptive provision to the expansion of the OATS requirements to all NMS stocks.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 1.36 MB
Federal Register NoticePDF - 57.63 KB
Extension No. 1PDF - 27.43 KB
Extension No. 2PDF - 27.41 KB
Response to CommentsPDF - 872.62 KB
Extension No. 3PDF - 27.14 KB
Approval OrderPDF - 69.2 KB