Regulatory Notice 15-03

FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory Purposes

Comment Period Expires: April 7, 2015

Executive Summary

FINRA is soliciting comment on a proposal to require alternative trading systems (ATSs) to submit quotation information relating to corporate and agency debt securities to FINRA solely for regulatory purposes. The proposed rule text is attached as Appendix A.

Questions regarding this Notice should be directed to

  • Patrick Geraghty, Vice President, Quality of Markets, at (240) 386-4973;
  • Ola Persson, Vice President, Transparency Services (TS), at (212) 858-4796;
  • Elliot Levine, Associate Vice President and Counsel, TS, at (202) 728-8405;
  • Lisa Horrigan, Associate General Counsel, Office of General Counsel (OGC), at (202) 728-8190; or
  • Alex Ellenberg, Assistant General Counsel, OGC, at (202) 728-8152.
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: 
DateCommenterFormat - Size
4/7/2015OpenBondX LLCPDF - 246.78 KB
4/7/2015SIFMAPDF - 151.94 KB
4/7/2015Electronifie Securities LLCPDF - 154.25 KB
4/7/2015KCG Holdings, Inc.PDF - 150.7 KB
4/7/2015FOLIOfn Investments, Inc.PDF - 403.61 KB
4/8/2015Liquidnet, Inc.PDF - 90.99 KB