SR-FINRA-2007-012
Proposed Rule Change to Amend Trade Reporting Rules to Require Related Market Center Indicator on Certain Non-Tape Reports Submitted to FINRA
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 6130, 6130A, 6130C, 6130D and 6130E to require that on any non-tape (or clearing-only) report submitted to a FINRA Facility (i.e., the Alternative Display Facility ("ADF"), a Trade Reporting Facility ("TRF") or the OTC Reporting Facility ("ORF")) associated with a previously executed trade that was not reported to that same FINRA Facility, members must identify the facility or market where the associated trade was reported.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 89.35 KB | |
| Extension No. 7 | PDF - 23.36 KB | |
| Extension No. 8 | PDF - 23.36 KB | |
| Extension No. 9 | PDF - 23.37 KB | |
| Amendment No. 2 and Response to Comments | PDF - 68.25 KB | |
| Extension No. 10 | PDF - 23.38 KB | |
| Approval Order | PDF - 53.99 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 86.88 KB | |
| Federal Register Notice | PDF - 65.85 KB | |
| Extension No. 1 | PDF - 23.33 KB | |
| Extension No. 2 | PDF - 23.33 KB | |
| Extension No. 3 | PDF - 23.34 KB | |
| Extension No. 4 | PDF - 23.35 KB | |
| Extension No. 5 | PDF - 19.69 KB | |
| Extension No. 6 | PDF - 19.38 KB |