Regulatory Notice 11-37

Trading Pause Rule Expanded to All NMS Stocks

Effective Date: August 8, 2011

Executive Summary

Beginning August 8, 2011, the trading pause pilot rule—currently applicable only to securities included in the S&P 500® Index, the Russell 1000® Index and a list of selected exchange-traded products (ETPs)—will be expanded to include all National Market System (NMS) stocks.

 

The text of the rule amendments can be found in the online FINRA Manual.

 

Questions regarding this Notice should be directed to:

  • FINRA Operations at (866) 776-0800; or
  • Racquel Russell, Assistant General Counsel, Office of General Counsel, at (202) 728-8363.