Regulatory Notice 11-53

SEC Approves Amendments to TRACE Reporting Requirements to Conform With Requirements in the Multi Product Platform

Executive Summary

The SEC approved amendments to FINRA Rule 6730 regarding member firms’ reporting obligations when reporting transactions in TRACE-eligible securities other than asset-backed securities. FINRA amended the reporting requirements in connection with the consolidation of all TRACE-eligible securities transaction processing and data management on a single technology platform, the multi product platform (MPP).

 

The amended rule text is available at www.finra.org/notices/11-53.

 

Questions regarding this Notice may be directed to:

• FINRA Operations at (866) 776-0800;
• Patrick Geraghty, Director, Market Regulation, at (240) 386-4973;
• Elliot R. Levine, Associate Vice President and Counsel, Transparency Services, at (202) 728-8405; or
• Office of General Counsel at (202) 728-8071.