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Proposed Rule Change to Clarify Application of FINRA Rule 11140 (Transactions in Securities “Ex-Dividend,” “Ex-Rights” or “Ex-Warrants) in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to address the application of FINRA Rule 11140 (Transactions in Securities “Ex-Dividend,” “Ex-Rights” or “Ex-Warrants”) as it relates to establishing ex-dividend dates in connection with the implementation of the T+2 settlement cycle on September 5, 2017. 

Title Format - Size Status
Text of the Proposed Rule Change PDF - 74.39 KB
Notice of Filing and Immediate Effectiveness PDF - 216.5 KB