Proposed Rule Change to Amend FINRA Rule 6140 (Other Trading Practices)

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 6140 to eliminate the provisions regarding the handling of stop orders, delete definitions relating to stop stock transactions and relocate the definition of “initial public offering.”

This rule filing was disapproved by the SEC.

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Disapproval OrderPDF - 179.77 KB