SR-FINRA-2013-013

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).

DateTitleFormat - SizeStatus
2/1/2013Text of Proposed Rule ChangePDF - 120.9 KB
2/13/2013Federal Register NoticePDF - 206.48 KB
3/25/2013Notice of Designation of a Longer Period for Commission ActionPDF - 191.37 KB
5/7/2013Amendment No. 1 and Response to CommentsPDF - 105.69 KB
5/23/2013Approval OrderPDF - 189.19 KB