Proposed Rule Change Relating to the Order Audit Trail System Definitions of Index Arbitrage Trade and Program Trade

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the definitions of “Index Arbitrage Trade” and “Program Trade” in FINRA Rule 7410 (Definitions) to reflect the deletion of NYSE Rule 132B and the adoption of NYSE Rule 7410.

DateTitleFormat - SizeStatus
11/4/2011Text of Proposed Rule ChangePDF - 57.8 KB
11/17/2011Notice of Filing and Immediate EffectivenessPDF - 146.15 KB