FINRA Delays Effective Date of Changes to Trade Reporting and OATS Rules

Posted on November 12, 2010 by Daren R. Domina

Co-authored by Natalya S. Zelensky

The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority’s proposal to delay the effective date of the changes to FINRA trade reporting and Order Audit Trail System rules approved by the SEC on October 4. The new effective date for the rules will be February 28, 2011, which also is the new compliance date for the amendments to SEC Regulation SHO approved on February 26.

Click here to read SEC Release 34-63277.

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