Regulatory Notice 10-23
SEC Approves Reporting Asset-Backed Securities Transactions to TRACE and Related Fees
Effective February 14, 2011, firms must begin reporting asset- and mortgage-backed securities transactions to TRACE. FINRA will not disseminate the data; it will collect and study the transaction data and may propose to disseminate it in the future.
In addition, reporting fees for asset- and mortgage-backed securities transactions, and other related amendments to TRACE and FINRA rules will go into effect on this day.
Questions regarding this Notice should be directed to:
- Patrick Geraghty, Director, Market Regulation, at (240) 386-4973;
- Elliot R. Levine, Associate Vice President and Counsel, Transparency Services, at (202) 728-8405; or
- Sharon Zackula, Associate Vice President and Associate General Counsel, Office of General Counsel, at (202) 728-8985.
The new effective date for reporting asset-backed securities to TRACE is May 16, 2011. See Regulatory Notice 10-55.
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