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Proposed Rule Change to Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information)

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 7410 and 7440 to require FINRA members to identify on their Order Audit Trail System ("OATS") reports the identity of certain broker-dealers that are not FINRA members when the member has received an order from such a broker-dealer.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 1.62 MB
Federal Register Notice PDF - 213.28 KB
Approval Order PDF - 194.63 KB