Regulatory Notice 09-54

SEC Approves Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA

Effective Date: March 1, 2010

Effective Monday,March 1, 2010, firms submitting a non-tape report (either a non-tape, non-clearing report or clearing-only report) to the Alternative Display Facility (ADF), a Trade Reporting Facility (TRF) or the OTC Reporting Facility (ORF) (referred to herein as the “FINRA Facilities”) associated with a previously executed trade that was not reported to that same FINRA Facility must identify the facility or market where the associated trade was reported for dissemination purposes (the “Related Market Center”). 

The text of the amendments can be found at:

Questions regarding this Notice may be directed to:

  • The Legal Section,Market Regulation, at (240) 386-5126; or
  • The Office of General Counsel at (202) 728-8071.