SR-FINRA-2011-058
Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements 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 amend the minimum quotation sizes in FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities).
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 87.85 KB | |
| Federal Register Notice | PDF - 156.75 KB | |
| Extension No. 1 | PDF - 25.95 KB | |
| Response to Comments | PDF - 415.72 KB | |
| Order Instituting Proceedings to Determine Whether to Disapprove | PDF - 174.39 KB | |
| Extension No. 2 | PDF - 25.95 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 85.78 KB | |
| Notice of Filing of Amendment No. 1 | PDF - 200.65 KB | |
| Response to Comments | PDF - 404.22 KB | |
| Amendment No. 2 to Propose Rule Change | PDF - 386.56 KB | |
| Approval Order | PDF - 254.98 KB | |
| Tier Size Pilot Assessment | PDF - 127.84 KB | |
| Tier Size Pilot Assessment Appendix A | PDF - 3.74 MB | |
| Tier Size Pilot Assessment Supplemental Exhibit 10 | PDF - 12.96 MB | |
| Tier Size Pilot Assessment Supplemental Exhibit 11 | PDF - 27.63 MB |