SR-FINRA-2011-058

Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for 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 amend the minimum quotation sizes in FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities).

DateTitleFormat - SizeStatus
10/6/2011Text of Proposed Rule ChangePDF - 87.85 KB
6/5/2012Amendment No. 2 to Propose Rule ChangePDF - 386.56 KB
6/21/2012Approval OrderPDF - 254.98 KB
9/16/2013Tier Size Pilot AssessmentPDF - 127.84 KB
9/16/2013Tier Size Pilot Assessment Appendix APDF - 3.74 MB
9/16/2013Tier Size Pilot Assessment Supplemental Exhibit 10PDF - 12.96 MB
9/16/2013Tier Size Pilot Assessment Supplemental Exhibit 11PDF - 27.63 MB
10/20/2011Federal Register NoticePDF - 156.75 KB
11/17/2011Extension No. 1PDF - 25.95 KB
12/27/2011Response to CommentsPDF - 404.22 KB
1/24/2012Order Instituting Proceedings to Determine Whether to DisapprovePDF - 174.39 KB
3/29/2012Extension No. 2PDF - 25.95 KB
4/17/2012Amendment No. 1 to Proposed Rule ChangePDF - 85.78 KB
4/20/2012Notice of Filing of Amendment No. 1PDF - 200.65 KB
6/5/2012Response to CommentsPDF - 415.72 KB