Proposed Rule Change to Require Members to Report the Factor to TRACE in Asset-Backed Security Transactions (except if traded TBA), in the Limited Instances When Members Effect Such Transactions as Agent and Charge a Commission
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend FINRA Rule 6730(d)(2) to require a member to report to Trade Reporting and Compliance Engine (TRACE) the Factor used to determine the size (volume) of each transaction in an Asset-Backed Security (except an Asset-Backed Security traded To Be Announced), in the limited instances when members effect such transactions as agent and charge a commission.
|Text of Proposed Rule Change||(PDF 69 KB)|
|Federal Register Notice||(PDF 201 KB)|
|Response to Comments||(PDF 63 KB)|
|Notice of Designation of a Longer Period for Commission Action||(PDF 172 KB)|
|Approval Order||(PDF 197 KB)|