SR-FINRA-2013-031

Proposed Rule Change Relating to Participation on the Alternative Display Facility

Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend FINRA Rules 6271 and 6272 regarding the requirements for members seeking registration as FINRA Alternative Display Facility ("ADF") Market Participants.

DateTitleFormat - SizeStatus
7/18/2013Text of Proposed Rule ChangePDF - 124.48 KB
8/1/2013Federal Register NoticePDF - 211.3 KB
9/16/2013Notice of Designation of a Longer Period for Commission ActionPDF - 192.88 KB
10/25/2013Response to CommentsPDF - 370.54 KB
11/5/2013Order Instituting Proceedings To Determine Whether To Approve or DisapprovePDF - 208.13 KB
12/11/2013Response to Comments Received During ProceedingsPDF - 305.81 KB
1/23/2014Response to Additional CommentPDF - 218.4 KB
2/3/2014Approval OrderPDF - 192.15 KB