Proposed Rule Change to Delay the Effective Date of the Changes to the FINRA Trade Reporting and Order Audit Trail System Rules Approved in SR-FINRA-2010-043

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to delay the effective date of the changes to the FINRA trade reporting and Order Audit Trail System (“OATS”) rules as proposed in SR-FINRA-2010-043 and approved by the SEC on October 4, 2010. The new effective date will be the new compliance date of the recent amendments to SEC Regulation SHO.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 71.56 KB
Notice of Filing and Immediate EffectivenessPDF - 58.88 KB