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Table of Contents
14100. Definitions
14101. Applicability of
(a) As detailed in this Rule, every member shall make publicly available for each calendar quarter a report on its routing of orders in OTC Equity Securities that are submitted during that quarter broken down by calendar month and keep such report posted on an internet website that is free and readily accessible to the public for a period of three years from the initial date of posting on the
Every member that is required to publish a report pursuant to Rule 606(a) of SEC Regulation NMS shall provide the report to FINRA, in the manner prescribed by FINRA, within the same time and in the same formats that such report is required to be made publicly available pursuant to Rule 606(a). FINRA will publish such reports on its public website.Adopted by SR-FINRA-2022-031 eff. June 30, 2024.
Every member that is required to publish a report pursuant to Rule 605 of SEC Regulation NMS shall provide the report to FINRA, in the manner prescribed by FINRA, within the same time and in the same formats that such report is required to be made publicly available pursuant to Rule 605. FINRA will publish such reports on its public website.Adopted by SR-FINRA-2025-002.
Stay ahead of industry regulations. Find the most recently approved rule changes and their pending effectives dates. Ensure compliance and stay informed.
FINRA Fixed Income Regulation, Member Supervision, and Market Regulation hosted a webinar that provided key insights and discussion areas of focus for 2025 examinations and investigations related to fixed income securities and municipal advisory activities. This free webinar assists firms in understanding what to expect in 2025, identifying areas where they can bolster their compliance practices
