Proposed Rule Change Relating to Exemption from Reporting Obligation under Equity Trade Reporting Rules for Certain Alternative Trading Systems

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt new Rules 6183 and 6625 to provide FINRA with authority to exempt a member alternative trading system (“ATS”) that meets the specified criteria from the trade reporting obligation under the equity trade reporting rules.  In addition, FINRA is proposing a conforming change to Rule 9610 to specify that FINRA has exemptive authority under proposed Rules 6183 and 6625.

DateTitleFormat - SizeStatus
9/16/2011Text of Proposed Rule ChangePDF - 75.7 KB
9/29/2011Federal Register NoticePDF - 150.87 KB
11/4/2011Response to CommentsPDF - 127.13 KB
11/10/2011Approval OrderPDF - 150.63 KB