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Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2014-041

Last Reviewed or Updated: Oct. 3, 2014

Resources

Notice Rule: SEC Issued Version (pdf 138.78 KB)

Notice Rule: Federal Register Version

Exhibit 5

Details

Public Comments Due

Oct. 30, 2014

File Number

SR-FINRA-2014-041

Rule Type

Notice

Release Number

34-73299

SEC Issue Date

Oct. 3, 2014

Federal Register Publish Date

Oct. 9, 2014

Document Citation

79 FR 61120

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)

Public Comments

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)

Public Comments

Resources

Details