SR-FINRA-2013-036
Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to add Supplementary Material .02 to FINRA Rule 5210 (Publication of Transactions and Quotations) to emphasize that wash sale transactions are generally non-bona fide transactions and that members have an obligation to have policies and procedures in place to review their trading activity for, and prevent, wash sale transactions.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 69.74 KB | |
| Federal Register Notice | PDF - 202.15 KB | |
| Notice of Designation of a Longer Period for Commission Action | PDF - 196.94 KB | |
| Response to Comments | PDF - 357.09 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 46.03 KB | |
| Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove | PDF - 217.19 KB | |
| Response to Comments on Amendment No. 1 | PDF - 244.02 KB | |
| Notice of Designation of a Longer Period for Commission Action | PDF - 193.7 KB | |
| Approval Order | PDF - 211.02 KB |