Status: SEC APPROVED RULES 2.1.25 Last Updated:
FINRA’s decision not to accept SLATE reports in the form of a single daily file is reasonable .
In adopting Rule 10c-1a, the Commission provided FINRA with the necessary flexibility to propose and implement rules regarding the format and manner with respect to the collection of information.
As such, the Proposal’s requirements concerning the manner of reporting are consistent with FINRA’s experience in establishing and maintaining systems that are designed to capture transaction reporting as well as the requirements of Rule 10c-1a.
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