Trade Reporting Notice - 3/25/13
Reporting Reversals of OTC Trades in Equity Securities
Effective Monday, June 3, 2013, FINRA is modifying the protocol for reporting reversals of over-the-counter trades in equity securities for firms that use the FINRA/Nasdaq Trade Reporting Facility, OTC Reporting Facility and Alternative Display Facility.
Questions regarding this Notice may be directed to:
- The Legal Section, Market Regulation, at (240) 386-5126;
- FINRA Operations at (866) 776-0800; or
- Office of General Counsel at (202) 728-8071.
In light of industry comments, FINRA has extended the effective date of this Notice from June 3, 2013, to July 29, 2013.