Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change Relating to Exemption from Certain Reporting Obligations under Equity Trade Reporting Rules for Certain Alternative Trading Systems

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Date Received
Date Letter Type Commenter Name
Public Comment Lisa Horrigan, Associate General Counsel, FINRA
Public Comment Naphtali M. Hamlet, Investor, Seattle, Washington
Public Comment Daniel Zinn, General Counsel, OTC Markets Group Inc.
Public Comment Suzanne H. Shatto, Seattle, Washington

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2011-051
Release Number
34-65388
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