Tick Size Pilot Security List

On September 2nd, the Listing Exchanges will establish which securities will be included as Pilot Securities for the Tick Size Pilot Plan (“Plan”). With respect to the data collection obligations of the Plan, the Participants have determined that the Pre-Pilot Data Collection Securities shall be used to satisfy the Plan’s data collection requirements until thirty days prior to the start of the Pilot Period, after which time the Pilot Securities shall be used for purposes of the data collection requirements. Accordingly, FINRA intends to file a proposed rule that, beginning on September 3, 2016, FINRA and FINRA members will comply with the data collection obligations of the Plan by collecting data on the Pilot Securities. As a result, beginning on September 3, firms must migrate from using FINRA’s published Pre-Pilot Data Collection Security List and begin using the “TSPilotSecurities” and “TSPilotChanges” lists available on FINRA’s Consolidated List of Pilot Securities webpage. If you have any questions, please call 1(800) 321-6273 or email us.