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Home > Regulatory Systems > TRACE > TRACE Rules
Printer-Friendly Last Updated: 3/26/07 TRACE Rules

Firms or individuals may wish to consider officially submitting comments on FINRA rule proposals. To do so, commenters must either e-mail the SEC at the appropriate e-mail address, or submit comments via letter to the appropriate address. Be sure to reference the rule filing number. For the email or mailing address and simple instructions on submitting the comments, go to the SEC's Web page on submitting comments . FINRA encourages you to submit your concerns and comments officially on TRACE filings or any rule filing so that your comments are included in the views and issues considered by FINRA and the SEC before the SEC takes final action.

Proposed Rule Change to Adopt a FINRA Policy to Expand Disseminated Transaction Reporting and Compliance Engine ("TRACE") Data (SR-FINRA-2007-026) (12/5/07)
NASD Notice to Members 07-21: 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
NASD Notice to Members 07-18: SEC Approves Amendments to TRACE Reporting Exempting Trades in TRACE-Eligible Securities Conducted on a Facility of, and Reported to, the New York Stock Exchange; Effective Date: January 9, 2007
NASD Notice to Members 07-15: SEC Approves Amendments to TRACE Rules to Reflect the Availability of TRACE "Snapshot" Data for a Reduced Monthly Fee; Effective Date: May 1, 2007
NASD Notice to Members 06-01: SEC Approves Immediate Dissemination of Information on TRACE Transactions; Effective Date: January 9, 2006
NASD Notice to Members 05-77: Transactions in TRACE-Eligible Securities That Occur in Connection with Options, Credit Default Swaps, Other Swaps or Similar Instruments Must Be Reported to TRACE
NASD Notice to Members 05-52: SEC Approves Amendments to TRACE Fee Structure Establishing an Enterprise Fee and Lowering Fee for Receipt of Real-Time TRACE Transaction Data via Web Browser; Effective Date: October 1, 2005
Proposed Rule Change to Amend Rule 7010(k)(3) Relating to Definition of "Non-Professional" and Use of TRACE Transaction Data (SR-NASD-2005-083) (06/23/05)
Proposed Rule Change to Amend Rule 7010(k)(3) Relating to Definition of "Non-Professional" and Use of TRACE Transaction Data (SR-NASD-2005-074) (06/13/05)
NASD Notice to Members 05-37: NASD Restructures Certain TRACE Fees for Market Data and Amends the Definition of "Non-Professional" in Connection with TRACE Market Data; Effective Date: June 1, 2005
NASD Notice to Members 05-28: NASD Reminds Members that the TRACE Reporting Period Will Be Reduced to 15 Minutes on July 1, 2005, and Rescinds Interpretive Guidance Regarding Rejected TRACE Transaction Reports
NASD Notice to Members 05-05: NASD Eliminates the TRACE Bond Transaction Data Service (BTDS) Non-Professional Real-Time Data Display Fee and the BTDS Professional Delayed-Time Data Display Fee Pilot Program
NASD Notice to Members 05-02: Stage Two of the Expansion of Dissemination of TRACE Transaction Data to Begin on February 7, 2005 Instead of February 1, 2005
NASD Notice to Members 04-90: NASD Issues Interpretive Guidance Regarding Various Trade Reporting and Compliance Engine (TRACE) Rules (12/08/04)
NASD Notice to Member 04-65: SEC Approves Amendments to TRACE Rules to Disseminate Transaction Information on All TRACE-Eligible Securities, Modify and Supplement Defined Terms, and Enhance Notification Requirements (09/08/04)
NASD Notice to Members 04-51: SEC Approves Amendments to TRACE Rule 6230 to Reduce the Reporting Period to 30 Minutes on October 1, 2004, and to 15 Minutes on July 1, 2005 (07/14/04)
NASD Notice to Members 04-39: SEC Approves Amendments to Clarify the Term “TRACE-Eligible Security” and to Expand the Scope of an Exemption from TRACE Reporting Requirements; Effective Date: June 17, 2004 (05/19/04)
Proposed Amendments and Federal Register Notice to “TRACE-Eligible Security” and An Exemption to Trade Reporting (SR-NASD-2003-182). Comment period for SR-NASD-2003-182 ends on January 12, 2004. (12/29/03)
NASD Notice to Members 03-58: NASD Issues Interpretive Guidance to the Trade Reporting and Compliance Engine Rules (09/30/03)
NASD Notice to Members 03-45: SEC Approves Amendments to TRACE Rule 6260 to Require New Issue Notifications to Include Dissemination Eligibility Information and Be Submitted in Writing. The amendments are effective on August 25, 2003. (08/19/03)
NASD Notice to Members 03-36: SEC Approves Amendments to TRACE Rule 6230 to Reduce the Reporting Period to 45 Minutes (06/30/03)
Proposed Amendment to Rule 6260 New Issue Notification Procedures (SR-NASD-2003-99) (06/26/03)
Proposed Amendment to Rule 6230 To Reduce Reporting Period (SR-NASD-2003-78) (05/23/03)
NASD Notice to Members 03-12: SEC Approves Amendments to TRACE Rule 6250 and Other TRACE Rules: Transaction Information to be Disseminated on More Than 4,000 Corporate Debt Securities (02/14/03)
Proposed Amendments to Rule 6200 Series to Increase Dissemination (SR-NASD-2002-174) (01/02/03)
View NASD Member Alert about reporting system outages to Market Regulation (11/25/02)
NASD Notice to Members 02-76: NASD Issues Interpretive Guidance to The Trade Reporting and Compliance Engine Rules (TRACE Rules) (11/01/02)
TRACE Rules, effective July 1, 2002 (06/28/02)
NASD Notice to Members 01-18: SEC Approves Rules To Require Fixed Income Transaction Reporting And Dissemination; Effective Date: 180 Days After Publication Of TRACE Technical Specifications (03/12/01)