Proposed Rule Change to Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information)

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 7410 and 7440 to require FINRA members to identify on their Order Audit Trail System ("OATS") reports the identity of certain broker-dealers that are not FINRA members when the member has received an order from such a broker-dealer.

TitleFormat - SizeStatus
Text of the Proposed Rule ChangePDF - 1.62 MB
Federal Register NoticePDF - 213.28 KB
Approval OrderPDF - 194.63 KB