NASD Notice to Members 07-21 - May 2007
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
The TRACE System is being enhanced to accept reports of transactions in TRACE-eligible securities in cases where the execution date is more than T+365 days old.1 With this enhancement, members must report such transactions electronically using the TRACE System and in accordance with the Rule 6200 Series. Also, reports relating to such transactions that correct previously reported information are subject to the same requirements.
The effective date of the TRACE System enhancement is June 4, 2007.
Questions concerning this Notice should be directed to TRACE feedback; Orlando Cortes, Senior Business Analyst, Transparency Services, at (212) 858-5143; Elliot Levine, Chief Counsel, Transparency Services, at (202) 728-8405; or Patrick Geraghty, Director, Market Regulation, at (240) 386-4973.
1 "T" means the trade date or the date of execution.
|View Full Notice||PDF 31 KB|