Trade Reporting Notice 8/1/13
Frequently Asked Questions Regarding TRACE Reporting
FINRA addresses several trade reporting issues in connection with reporting transactions in TRACE-eligible securities to the Trade Reporting and Compliance Engine (TRACE) system. This Notice addresses the following topics:
- split-volume reporting;
- reporting investment adviser-directed transactions;
- reporting Securities Act Regulation S transactions;
- transfers establishing the underwriting syndicate;
- firm commitments prior to final pricing;
- transfers facilitating settlement; and
- reporting collateralized mortgage obligations.
Questions concerning this Notice should be directed to:
- TRACE Feedback;
- Patrick Geraghty, Vice President, Market Regulation, at (240) 386-4973;
- 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.