Trade Reporting Notice – 10/7/15

Dissemination of Qualified Contingent Trades Reported to FINRA

Effective Date: November 16, 2015

Executive Summary

Effective November 16, 2015, over-the-counter transactions in NMS stocks that are reported to FINRA as qualified contingent trades (QCTs) will be identified as such for purposes of public dissemination. This change affects dissemination only; firms are not required to change the way they report QCTs to FINRA.

Questions regarding this Notice may be directed to:

  • Dave Chapman, Director, Market Regulation, at (240) 386-4995;
  • FINRA Operations at (866) 776-0800; or
  • for rule related questions, Lisa Horrigan, Associate General Counsel, Office of General Counsel, at (202) 728-8190.