TRACE Regulatory and Trade Reporting Notices

 
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December 2012

Regulatory Notices
12-56 SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Specified Pool Transactions and SBA-Backed ABS Transactions and to Reduce the Time to Report Such Transactions
Effective Date: July 22, 2013
Posted on: 12/20/2012
12-53 FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy
Posted on: 12/3/2012
 

November 2012

Regulatory Notices
12-48 FINRA Changes the Effective Date for Amendments to TRACE Rules Relating to the Reporting and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related TRACE Fees in FINRA Rule 7730 from November 5, 2012, to November 12, 2012
Revised Effective Date: November 12, 2012
Posted on: 11/1/2012
 

September 2012

Regulatory Notices
12-39 FINRA Requests Comment on TRACE Dissemination Issues
Due to the disruption of normal business operations relating to Hurricane Sandy, FINRA is extending the deadline to provide comment to November 19, 2012. (Previously, the deadline was extended to November 9, 2012.)
Comment Period Expires: October 10, 2012
Posted on: 9/5/2012
 

May 2012

Regulatory Notices
12-26 SEC Approves Amendments to TRACE Reporting Requirements and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related Fees
Effective Date: November 5, 2012
Posted on: 5/21/2012