NASD Notice to Members 04-90 - December 2004

NASD Issues Interpretive Guidance Regarding Various Trade Reporting and Compliance Engine (TRACE) Rules

Executive Summary

NASD provides interpretive guidance on the meaning of the terms “foreign private issuer” and “issue date” as set forth in Rule 6210,notification obligations under Rule 6260, and reporting the time of execution in seconds under Rule 6230.

 

Questions concerning this Notice should be directed to TRACE; Elliot Levine, Chief Counsel, Market Operations, Markets, Services and Information, at (202) 728-8405; or Sharon K. Zackula, Associate General Counsel, Office of General Counsel, Regulatory Policy and Oversight, at (202) 728-8985.