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FINRA Pushes Back Pilot Program Deadline for Transactions in Exchange-Listed Securities in 2020

FINRA filed a proposed rule change to extend its current pilot program for reviews of clearly erroneous transactions in exchange-listed securities from the previous extension of April 20, 2020 to October 20, 2020.

As previously covered, FINRA stated that extending the pilot program under FINRA Rule 11892 will provide the agency and other national securities exchanges more time to consider a permanent rule proposal.

Primary Sources

  1. SR-FINRA-2020-008: Proposed Rule Change to Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)

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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