SR-FINRA-2022-031
Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities)
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities).
| Title | Format - Size | Status |
|---|---|---|
| Text of the Proposed Rule Change | PDF - 4.53 MB | |
| Federal Register Notice | PDF - 674.06 KB | |
| Notice of Designation of a Longer Period for Commission Action | PDF - 106.83 KB | |
| Order Instituting Proceedings To Determine Whether To Approve or Disapprove | PDF - 163.38 KB | |
| Response to Comments | PDF - 536.46 KB | |
| Notice of Designation of a Longer Period for Commission Action | PDF - 105.86 KB | |
| Response to Comments No. 2 | PDF - 665.48 KB | |
| Approval Order | PDF - 156.28 KB |