Proposed Rule Change to Expand FINRA’s Alternative Trading System (“ATS”) Transparency Initiative to Publish OTC Equity Volume Executed Outside ATSs
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to expand FINRA’s alternative trading system (“ATS”) transparency initiative to publish the remaining equity volume executed over-the-counter (“OTC”) by FINRA members, including, among other trading activity, non-ATS electronic trading systems and internalized trades.
|Title||Format - Size||Status|
|Text of the Proposed Rule Change||PDF - 2.21 MB|
|Federal Register Notice||PDF - 213.63 KB|
|Notice of Designation of a Longer Period for Commission Action||PDF - 169.93 KB|
|Amendment No. 1 and Response to Comments||PDF - 52.58 KB|
|Approval Order||PDF - 206.48 KB|