Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, to Require Members to Report OTC Transactions in Equity Securities Within 30 Seconds of Execution

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Date Received
Date Letter Type Commenter Name
Public Comment Financial Industry Regulatory Authority
Public Comment Neal E. Nakagiri, President, CEO, CCO, NPB Financial Group, LLC
Public Comment James Downing, CCO, Cheevers and Company, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2009-061
Release Number
34-60960
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