Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA

Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt an interpretation to clarify the classification and the reporting of certain securities to FINRA.

DateTitleFormat - SizeStatus
9/16/2013Text of Proposed Rule ChangePDF - 74.28 KB
9/30/2013Federal Register NoticePDF - 202.78 KB
11/12/2013Extension No. 1PDF - 22.77 KB
12/31/2013Order Instituting Proceedings to Determine Whether to DisapprovePDF - 202.25 KB
2/12/2014Amendment No. 1 to Proposed Rule ChangePDF - 93.07 KB
3/5/2014Notice of Filing of Amendment No. 1PDF - 212.86 KB
4/2/2014Notice of Designation of a Longer Period for Commission ActionPDF - 182.76 KB
4/17/2014Approval OrderPDF - 201.83 KB