FINRA Proposes Rule Change to Enhance Transparency in OTC Equity Transactions

Summary

The Financial Industry Regulatory Authority (FINRA) has filed a proposed rule change to update its trade reporting rules for over-the-counter (OTC) equity transactions, including those related to distributions and transfers of securities used to create or redeem instruments like American Depository Receipts (ADRs) and exchange-traded funds (ETFs).

Original source language: Federal Register — SECOpen original release →

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