Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements

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 7470 to extend for four years FINRA’s ability to exempt certain members from the recording and reporting requirements of the Order Audit Trail System (“OATS”) Rules (“OATS Rules”) for manual orders received by the member.

DateTitleFormat - SizeStatus
6/14/2011Text of Proposed Rule ChangePDF - 61.34 KB
6/27/2011Notice of Filing and Immediate EffectivenessPDF - 187.3 KB