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Regulation NMS

FINRA Self-Help Email Address

 

Trade Reporting Facilities (TRFs) and the Alternative Display Facility (ADF) are not considered trading centers or SRO trading facilities under SEC Regulation NMS and its Order Protection Rule. However, the participants in the TRFs and the ADF are considered trading centers and are subject to the self-help exception under the SEC Regulation NMS Order Protection Rule. Therefore, electronic notifications indicating the invocation of the self-help exception should be directed to the trading centers utilizing either the ADF or TRFs and copies of the notifications should be sent to FINRA. In addition, trading centers utilizing either the ADF or TRFs should copy FINRA on any self-help notifications that they receive indicating that the self-help exception has been declared against them and copy FINRA on any electronic notifications sent by them to another trading center indicating the declaration of the self-help exception.

FINRA Self-Help E-mail Address: [email protected]