FINRA – Proposed Rule Change to Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) Relating to Allocation Reporting Requirements

January 5, 2021 – FINRA filed with the SEC proposed rule changes to amend the FINRA Rule 6800 series. Consolidated audit trail compliance rule, relating to allocation reporting requirements. To implement relief consistent with SEC CAT NMS reporting exemptions.

A proposal based on parallel NYSE and NYSE Arca proposed rule changes.

Rule Amendments

Amended definitions of allocation and allocation report so shares and contracts are scoped. Required allocation report whether or not a member was executing broker for the trade. Eliminated reporting the SRO-assigned market participant identifier of the prime broker.


Proposed amendments filed for immediate effect and operative 30 days after filing.

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