SR-FINRA-2011-054

Proposed Rule Change to Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (i) update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) to reflect changes to market-wide circuit breaker triggers for NMS stocks, and (ii) amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities) to provide specifically for a halt in trading in all OTC Equity Securities when a market-wide circuit breaker is in effect for NMS stocks.

DateTitleFormat - SizeStatus
9/27/2011Text of Proposed Rule ChangePDF - 98.59 KB
10/4/2011Federal Register NoticePDF - 154.83 KB
1/20/2012Notice of Designation of Longer Period for Commission ActionPDF - 146.29 KB
1/9/2012Order Instituting Proceedings to Determine Whether to DisapprovePDF - 164.52 KB
4/4/2012Notice of Designation of Longer Period for Commission ActionPDF - 198.17 KB
5/24/2012Amendment No. 1 to Proposed Rule ChangePDF - 39.53 KB
6/8/2012Approval OrderPDF - 209.99 KB