Regulatory Notice - 13-09

SEC Approves Amendments to Establish Two Optional TRACE Data Delivery Services and Related Fees

Effective Date: June 10, 2013

The SEC approved amendments to FINRA Rule 7730 to establish two optional TRACE data delivery services and fees in connection with such services. The effective date is June 10, 2013.

The amended rule text is set forth on Attachment A.

Questions regarding this Notice may be directed to:

  • Marie Griffin, Product Manager, Transparency Services, (202) 728-8207; or
  • Noah Egorin, Director, Firm Compliance Tools, (202) 728-8068.