SR-FINRA-2011-054
Proposed Rule Change to Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in 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: (i) update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) to reflect changes to market-wide circuit breaker triggers for NMS stocks, and (ii) amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities) to provide specifically for a halt in trading in all OTC Equity Securities when a market-wide circuit breaker is in effect for NMS stocks.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 98.59 KB | |
| Federal Register Notice | PDF - 154.83 KB | |
| Notice of Designation of Longer Period for Commission Action | PDF - 146.29 KB | |
| Order Instituting Proceedings to Determine Whether to Disapprove | PDF - 164.52 KB | |
| Notice of Designation of Longer Period for Commission Action | PDF - 198.17 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 39.53 KB | |
| Approval Order | PDF - 209.99 KB |