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Technical Notice

Tick Size Pre-Pilot Data Collection Security List to be Available March 7, 2016

March 01, 2016

As required by FINRA Rule 6191 and BATS Rule 11.27, Pre-Pilot Data Collection Securities shall be selected thirty days prior to the commencement of the six-month Pre-Pilot Period, which is April 4, 2016. Accordingly, the primary listing markets will designate the securities for purposes of the data collection requirements described in Items I, II and IV of Appendix B and Item I of Appendix C of the Tick Size Plan as of the close of the market on Friday, March 4, 2016. FINRA will publish the consolidated list of the Pre-Pilot Data Collection securities no later than noon ET on Monday March 7, 2016. Thereafter, the consolidated list will be published on no later than 6:30 a.m. ET each day. The primary listing exchanges and FINRA will begin publishing the daily change list for the Pre-Pilot Data Collection securities beginning on Monday, March 14, 2016. The change list will also be available on no later than 6:30 a.m. ET each day.

FINRA has also published an updated Pre-Pilot Data Collection Securities and Pilot Securities Daily List file format that includes, among other things, the addition of the change codes that will be used in the daily change file. Changes to the file format are available in redlined format.