Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA trade reporting rules to require that members report over-the-counter (“OTC”) transactions in NMS stocks and OTC Equity Securities, and cancellations of such transactions, to FINRA as soon as practicable, but no later than 10 seconds, following execution (or cancellation, as applicable).
|Title||Format - Size||Status|
|Text of Proposed Rule Change||PDF - 120.9 KB|
|Federal Register Notice||PDF - 206.48 KB|
|Notice of Designation of a Longer Period for Commission Action||PDF - 191.37 KB|
|Amendment No. 1 and Response to Comments||PDF - 105.69 KB|
|Approval Order||PDF - 189.19 KB|