Trade Reporting Notice – 12/21/11

FINRA Addresses Frequently Asked Questions About TRACE Reporting Issues

Executive Summary

FINRA addresses certain trade reporting issues in connection with reporting transactions in TRACE-eligible securities to the Trade Reporting and Compliance Engine (TRACE) system.

 

Questions concerning this Notice should be directed to:

  • TRACE Feedback;
  • Patrick Geraghty, Director, Market Regulation, at (240) 386-4973;
  • Joseph Schwetz, Assistant Director, Market Regulation, at (240) 386-6170;
  • Elliot Levine, Associate Vice President and Counsel, TRACE, at (202) 728-8405; or
  • Sharon Zackula, Associate Vice President and Associate General Counsel, Office of General Counsel, at (202) 728-8985.