*Letters

FINRA Proposed Rule to the NYSE & NYSE Amex LLC

Published on:
April 30, 2009
Issue:
Committee:

SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) and the NYSE Euronext on FINRA Regulatory Notice 09-15, which requests comment on Proposed FINRA Rule 5320, and NYSE Information Memo 09-13, which requests comment on the applicability of FINRA’s Proposed Rule to the New York Stock Exchange (NYSE) and NYSE Amex LLC (Amex LLC) (collectively, the Exchanges). SIFMA urges the expeditious submission of the Proposed Rule to the Securities Exchange Commission (SEC), subject to several clarifications and revisions discussed below. In addition, SIFMA urges FINRA, as it considers this proposed rule change, to keep in mind the interplay between this proposal and proposals regarding other related rules (such as Proposed Rule 5270 regarding front running) to ensure a consistent and coherent approach to how firms handle customer orders.

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