Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution

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Date Received
Date Letter Type Commenter Name
Public Comment Lisa Horrigan, Associate General Counsel, FINRA
Public Comment Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA
Public Comment Manisha Kimmel, Financial Information Forum, New York, New York
Public Comment Christopher Nagy, President, KOR Trading LLC, Omaha, Nebraska
Public Comment David J. Amster, Chief Compliance Officer, Stamford,, Connecticut
Public Comment David S. Sieradzki, Bracewell & Giuliani LLP, on behalf of GFI Securities LLC

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2013-013
Release Number
34-68842
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