SR-FINRA-2013-031
Proposed Rule Change Relating to Participation on the Alternative Display Facility
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend FINRA Rules 6271 and 6272 regarding the requirements for members seeking registration as FINRA Alternative Display Facility ("ADF") Market Participants.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 124.48 KB | |
| Federal Register Notice | PDF - 211.3 KB | |
| Notice of Designation of a Longer Period for Commission Action | PDF - 192.88 KB | |
| Response to Comments | PDF - 370.54 KB | |
| Order Instituting Proceedings To Determine Whether To Approve or Disapprove | PDF - 208.13 KB | |
| Response to Comments Received During Proceedings | PDF - 305.81 KB | |
| Response to Additional Comment | PDF - 218.4 KB | |
| Approval Order | PDF - 192.15 KB |