Effective Immediately - FINRA and Other Assorted Securities SRO Rule Changes
New SRO rules and rule proposals have been announced by the SEC. Click on the links to view the SEC's notices of each rule change and proposal.
- C2: Effective Immediately - Rule Change Related to the Opening of the Complex Order Book
- CBOE: Effective Immediately - Rule Change Related to the Opening of the Complex Order Book
- FINRA: Effective Immediately - Rule Change to Modify the "Late Report-T+N" Fee Applicable to Members Using the FINRA/Nasdaq Trade Reporting Facility
- FINRA: Notice of Filing of Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution (See also: Exhibit 5)
- NASDAQ: Effective Immediately - Rule Change to Establish the Limit Locator Service Offered at No Cost to Subscribing Members
- NASDAQ: Effective Immediately - Rule Change to Add Routing Functionality to the NASDAQ System
- NASDAQ OMX BX: Effective Immediately - Rule Change to Add Routing Functionality to the NASDAQ OMX BX Equities Market
- Phlx: Effective Immediately - Rule Change Relating to the Routing Functionality of the NASDAQ OMX PSX Market