Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting

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 governing the reporting of (i) over-the-counter (“OTC”) transactions in equity securities to the FINRA Facilities; and (ii) orders in NMS stocks and OTC Equity Securities to the Order Audit Trail System (“OATS”).

DateTitleFormat - SizeStatus
11/12/2013Text of Proposed Rule ChangePDF - 192.2 KB
11/29/2013Federal Register NoticePDF - 220.39 KB
1/15/2014Notice of Designation of Longer Period for Commission ActionPDF - 171.26 KB
2/14/2014Response to CommentsPDF - 1.55 MB
2/14/2014Amendment No. 1 to Proposed Rule ChangePDF - 127.15 KB
3/5/2014Approval OrderPDF - 212.59 KB
3/18/2014Approval Order (Correction)PDF - 189.74 KB