Proposed Rule Change Relating to Elimination and Modification of Duplicative Rules After Implementation of the Consolidated Audit Trail
Financial Industry Regulatory Authority, Inc. (“FINRA”) (f/k/a National Association of Securities Dealers, Inc. (“NASD”)) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to eliminate the Order Audit Trail System (“OATS”) rules in the FINRA Rule 7400 Series and to amend FINRA’s electronic blue sheet (“EBS”) rules, Rules 8211 and 8213, to reflect changes to these rules once members are effectively reporting to the consolidated audit trail (“CAT”) and the CAT’s accuracy and reliability meet certain standards.
|Title||Format - Size||Status|
|Text of the Proposed Rule Change||PDF - 196.29 KB|
|Federal Register Notice||PDF - 236.19 KB|
|Notice of Designation of a Longer Period for Commission Action||PDF - 191.41 KB|
|Amendment No. 1 to Proposed Rule Change||PDF - 100.33 KB|
|Notice of Filing of Amendment 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove||PDF - 261.57 KB|| |