Regulatory Notices 10-29

SEC Approves Amendments to Rules on Reporting Transactions to the OTC Reporting Facility

Effective Date: November 1, 2010

Effective Monday, November 1, 2010, firms must comply with amended rules on applicable trade report modifiers when reporting OTC transactions in non-NMS stocks to the OTC Reporting Facility.

The text of the amendments can be found at www.finra.org/rulefilings/2009-061.

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.