Proposed Rule Change to Amend FINRA's NYSE Rule 409(f) Regarding Confirmations
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 New York Stock Exchange ("NYSE") Rule 409(f) to delete the requirement that certain confirmations and reports include the name of the securities market on which a transaction is effected.
Title | Format - Size | Status |
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Text of Proposed Rule Change | PDF - 56.58 KB | |
Notice of Filing and Immediate Effectiveness | PDF - 65.8 KB |