SR-FINRA-2019-021

Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 7470 (Exemption to the Order Recording and Data Transmission Requirements) to extend for three years FINRA’s ability to exempt certain members from the recording and reporting requirements of the Order Audit Trail System (“OATS”) Rules (“OATS Rules”) for manual orders received by the member.

TitleFormat - SizeStatus
Text of the Proposed Rule ChangePDF - 163.53 KB
Notice of Filing and Immediate Effectiveness PDF - 308.52 KB