TRACE Notices

 
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December 2007

Regulatory Notices
07-61 SEC Approves Exemption from TRACE Reporting Requirements for Certain "Derivative-Related Transactions"
Notice 07-61 supersedes NTM 05-77
Effective Date: December 13, 2007
Posted on: 12/11/2007
 

May 2007

07-21 Reporting of Transactions in TRACE-Eligible Securities With Execution Dates More Than T+365 Days Before Date of Report;
TRACE System Enhancement Effective on June 4, 2007
Posted on: 5/4/2007
 

April 2007

07-18 SEC Approves Amendments to TRACE Reporting Exempting Trades in TRACE-Eligible Securities Conducted on a Facility of, and Reported to, the New York Stock Exchange;
Effective Date: January 9, 2007
Posted on: 4/26/2007
 

March 2007

07-15 SEC Approves Amendments to TRACE Rules to Reflect the Availability of TRACE "Snapshot" Data for a Reduced Monthly Fee;
Effective Date: May 1, 2007
Posted on: 3/26/2007