FINRA Alert! Proposed rule would require broker-dealers to publicly disclose specified information about their order routing practices for Securities.


Additional Materials: Exhibit 2a, Exhibit 2b, Exhibit 3, Exhibit 5

Submit Comments on SR-FINRA-2022-031

FINRA is proposing to adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities) to require members to (i) publish order routing reports for orders in OTC Equity Securities, and (ii) submit their order routing reports for both OTC Equity Securities and NMS Securities to FINRA for publication on the FINRA website.