Order Rule

Order Granting Approval of a Proposed Rule Change To Amend FINRA Rule 6433 To Adopt the OTC Quotation Tier Pilot as Permanent

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Title

Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend FINRA Rule 6433 To Adopt the OTC Quotation Tier Size Pilot as Permanent

Release Number

34-83422

SEC Issue Date

June 13, 2018

Federal Register Publish Date

June 19, 2018

Document Citation

83 FR 28483

Resources

Notice Rule: SEC Issued Version (pdf 83.86 KB)

Notice Rule: Federal Register Version

Title

Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6433 To Adopt the OTC Quotation Tier Pilot as Permanent

Release Number

34-83129

SEC Issue Date

April 30, 2018

Federal Register Publish Date

May 7, 2018

Document Citation

83 FR 20131

Resources

Notice Rule: SEC Issued Version (pdf 273.83 KB)

Notice Rule: Federal Register Version

Exhibit 3a

Exhibit 3b

Exhibit 3c

Exhibit 5

View Received Comments

Last Reviewed or Updated: July 31, 2018

Resources

Order Rule: SEC Issued Version (pdf 400.1 KB)

Order Rule: Federal Register Version

Details

File Number

SR-FINRA-2018-015

Rule Type

Order

Release Number

34-83753

SEC Issue Date

July 31, 2018

Federal Register Publish Date

Aug. 6, 2018

Document Citation

83 FR 38434

Rules & Regulations

Enforcement & Litigation

Compliance

Order Granting Approval of a Proposed Rule Change To Amend FINRA Rule 6433 To Adopt the OTC Quotation Tier Pilot as Permanent

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Resources

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More in this Section

Order Granting Approval of a Proposed Rule Change To Amend FINRA Rule 6433 To Adopt the OTC Quotation Tier Pilot as Permanent

Notice Rule (34-83422)

Resources

Notice Rule (34-83129)

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Resources

Details