On May 23, the SEC approved amendments to FINRA trade reporting Rules 6282, 6380A, 6380B, 6622, 7130, 7230A and 7230B to require member firms to report over-the-counter transactions in equity securities to FINRA as soon as practicable, but no later than 10 seconds following execution. The amendments also apply to trade cancellations as well as stop stock and prior reference price trades. The amendments will become effective on November 4. FINRA Notice. FINRA Amendments.
Register now for your free, tailored, daily legal newsfeed service.
Questions? Please contact email@example.comRegister
SEC amendments to OTC equity trade reporting rules
Popular articles from this firm
If you would like to learn how Lexology can drive your content marketing strategy forward, please email firstname.lastname@example.org.
Related topic hubs
Privacy Manager, Global Privacy Centre
"This is a very good resource and I appreciate receiving it everyday. Each newsletter has a great deal of content and the daily feed allows you to 'pace' yourself. The content is relevant to the areas that I address and the articles are written by counsel who are very experienced in these areas and can communicate in a meaningful and effective way."