Regulatory Alerts2024-02-26 | Regulatory Notice 24-05Added · Updated
FINRA Adopts Amendments to Improve the Accessibility of Order Routing Disclosures for NMS Securities
FINRA adopted new Rule 6151 requiring members to submit SEC Rule 606(a) order routing reports for NMS securities to FINRA for centralized publication. Members must submit these reports electronically via FINRA Gateway or fileX within one month after the end of each calendar quarter, with the first submission due no later than July 31, 2024. The rule takes effect on June 30, 2024, and introducing firms adopting clearing firms' reports by reference must provide FINRA with a list of clearing firms and relevant hyperlinks.
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