FINRA - Financial Industry Regulatory Authority Inc.

07/11/2019 | Press release | Distributed by Public on 07/11/2019 17:58

SR-FINRA-2019-021

Financial Industry Regulatory Authority, Inc. ('FINRA') is filing with the Securities and Exchange Commission ('SEC' or 'Commission') a proposed rule change to amend Rule 7470 (Exemption to the Order Recording and Data Transmission Requirements) to extend for three years FINRA's ability to exempt certain members from the recording and reporting requirements of the Order Audit Trail System ('OATS') Rules ('OATS Rules') for manual orders received by the member.