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Proposed Rule Change to Adopt New FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System)

Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt new FINRA Rule 6732 to provide FINRA with authority to exempt certain transactions by a member alternative trading system ("ATS") that meet specified criteria from the transaction reporting obligations under FINRA Rule 6730.  In addition, FINRA is proposing a conforming change to FINRA Rule 9610 to specify that FINRA has exemptive authority under proposed Rule 6732.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 151.47 KB
Notice of Filing and Immediate Effectiveness PDF - 202.22 KB