Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Amend the Trade Reporting Structure and Require Submission of Non-Tape Reports to Identify Other Members for Agency and Riskless Principal Transactions

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Date Received
Date Letter Type Commenter Name
Public Comment Lisa C. Horrigan, Associate General Counsel, FINRA
Public Comment Philip M. Pinc, Vice President, Counsel, National Stock Exchange, Inc., Chicago, Illinois
Public Comment Ann Vlcek, Managing Director and Associate General Counsel, SIFMA
Public Comment Eric Swanson, General Counsel, BATS Trading, Inc.
Public Comment Romeo Bermudez, Chief Compliance Officer, Direct Edge ECN LLC

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2008-011
Release Number
34-57681
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