Preliminary List of TRACE-Eligible Securities Effective June 15, 2009

Effective June 15, 2009, firms must begin reporting transactions in additional TRACE-eligible securities and otherwise comply with all other FINRA Rule 6700 Series requirements regarding such securities as described in Regulatory Notice 09-24.

 

To prepare for the June 15 effective date, FINRA has compiled a preliminary list of securities that will be added to the TRACE system effective June 15, 2009. An Excel file containing CUSIP, issuer and security description data will be provided upon email request only. If you would like to request a copy of this file, send an email to FINRA Operations with the subject line "JUNE 15 TRACE ADDITIONS". FINRA will return a file containing the preliminary list of securities.

 

The securities on this list will be included in the TRACE Issue Master effective June 15, 2009. Firms are encouraged to review the list and notify FINRA Operations of any security that meets the broader definition of a TRACE-eligible security but is not included on the list. Please send an email to TRACE new issues and include descriptive information for each security that should be added.

 

Questions concerning this notice may be directed to FINRA Operations at (866) 776-0800.