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Federal Register: FINRA Extends Pilot Deadline for Transactions in Exchange-Listed Securities

A FINRA rule proposal extending its current pilot program for reviews of clearly erroneous transactions in exchange-listed securities was published in the Federal Register. The rule is immediately effective, however FINRA is requesting comments on the rule proposal until November 14, 2019.

As previously covered, FINRA stated that extending the pilot program to April 20, 2020 will provide the agency and other national securities exchanges with more time to consider a permanent rule proposal.

Primary Sources

  1. Federal Register: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) [84 FR 57076]

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Tags

Regulated Activities
Trading
Regulated Entities
Broker-Dealers
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA