Regulatory Notice 07-46
FINRA Requests Comment on Proposed Amendments to OTC Trade Reporting Requirements for Equity Securities; Comment Period Expired November 12, 2007
FINRA is issuing this Notice to solicit comments from member firms and other interested parties on two proposals relating to OTC trade reporting requirements applicable to listed and unlisted equity securities.
These proposals are discussed in greater detail on the following pages.
|View Full Notice||PDF 95 KB|
The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments.
|Comments By||Date Received|
|Liquidnet, Inc. (PDF 108 KB)||10/26/2007|
|NYSE Euronext (PDF 41 KB)||11/6/2007|
|Financial Information Forum (PDF 30 KB)||11/8/2007|
|Automated Trading Desk, LLC (PDF 257 KB)||11/12/2007|
|Pipeline Trading Systems LLC (PDF 126 KB)||11/12/2007|
|Ameritrade Holding Corporation (PDF 39 KB)||11/15/2007|
|UBS Securities LLC (PDF 333 KB)||11/15/2007|
|SIFMA (PDF 68 KB)||11/16/2007|
|Bracewell & Giuliani (PDF 821 KB)||11/30/2007|