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Proposed Rule Change Relating to the Submission of “Clearing-Only, Non-Regulatory Reports” to the FINRA Equity Trade Reporting Facilities

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA rules governing the reporting of over-the-counter (“OTC”) transactions in equity securities to the FINRA Facilities to allow the submission of “clearing-only, non-regulatory reports,” as defined herein, relating to previously executed and reported transactions and exempt such reports from certain reporting requirements under FINRA rules.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 121.14 KB
Notice of Filing and Immediate Effectiveness PDF - 203.51 KB