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FINRA Delays Start of 'OTC Equity Quote Size' Pilot
[ by Howard Haykin ]
On August 3, 2012, in , FINRA published Regulatory Notice 12-37 announcing the adoption of several amendments to FINRA Rule 6433, Minimum Quotation Size Requirements for OTC Equity Securities:
- simplifies the existing tier structure,
- facilitates the display of customer limit orders pursuant to FINRA Rule 6460, Display of Customer Limit Orders, and
-
expands the scope of the rule to encompass quotations displayed by non-market-makers.
FINRA originally had intended for the changes to become effective today, November 5th. The disruptions caused by Hurricane Sandy causes FINRA to push back the effective date to 11/12/12. Likewise, the revised end date of the pilot is now 11/12/13.
Staff Contacts. Direct questions to: Racquel Russell, Assistant General Counsel - at (202) 728-8363.
For further details, go to: [FINRA RegNote 12-51, November 2012] and [FINRA Regulatory Notice 12-37, August 2012].
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