Comment Period Expires November 12, 2007
FINRA is soliciting feedback from member firms and other interested parties on two proposals relating to OTC trade reporting requirements applicable to listed and unlisted equity securities.
• Trade Reporting Structure Proposal: FINRA is proposing to simplify and update the current market maker-based trade reporting structure and is seeking comment on alternative structures.
• Linking Proposal: FINRA is proposing to require firms to provide information sufficient to link tape and non-tape reports that are submitted to FINRA for the same overall transaction.
To view the full Notice click here.
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