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ARTICLE · 02 DECEMBER 2016

Federal Register: SEC Requests Comment On FINRA Proposal On Disruptive Quoting And Trading

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The SEC requested comment on an immediately effective FINRA proposal to: (i) adopt new supplementary material to FINRA Rule 5210 to prohibit two specific types of disruptive quoting and trading activity...

United StatesFinance and Banking
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
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The SEC requested comment on an immediately effective FINRA proposal to: (i) adopt new supplementary material to FINRA Rule 5210 to prohibit two specific types of disruptive quoting and trading activity; and (ii) amend the FINRA Rule 9800 Series to permit FINRA to initiate expedited proceedings for violations of the quoting and trading restrictions set forth in the new supplementary material. The request for comment was published in the Federal Register.

FINRA emphasized that "having the authority to issue a cease and desist order on an expedited basis to stop certain well-defined disruptive and manipulative quoting and trading activity when the activity is persistent would significantly enhance FINRA's ability to protect investors and market integrity."

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