Trade Reporting Notice - 3/25/13

Reporting Reversals of OTC Trades in Equity Securities

Effective Date: July 29, 2013
In light of industry comments, FINRA has extended the effective date of this Notice from June 3, 2013, to July 29, 2013.

Effective Monday, June 3, 2013, FINRA is modifying the protocol for reporting reversals of over-the-counter trades in equity securities for firms that use the FINRA/Nasdaq Trade Reporting Facility, OTC Reporting Facility and Alternative Display Facility.

Questions regarding this Notice may be directed to:

  • The Legal Section, Market Regulation, at (240) 386-5126;
  • FINRA Operations at (866) 776-0800; or
  • Office of General Counsel at (202) 728-8071.

In light of industry comments, FINRA has extended the effective date of this Notice from June 3, 2013, to July 29, 2013.