Proposed Rule Change Regarding Historic TRACE Data

FINRA (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to: (1) adopt a FINRA policy providing for public access to historic TRACE data ("Historic TRACE Data"); and (2) amend NASD Rule 7030 to: (i) define Historic TRACE Data in proposed NASD Rule 7030(c)(3)(D); (ii) establish fees for Historic TRACE Data in proposed NASD Rule 7030(d); (iii) make conforming changes to the fee chart in NASD Rule 7030 and the definitions of "Non-Professional," "Tax-Exempt Organization," and "Real-Time" in, respectively, paragraphs (A), (B), and (C) of NASD Rule 7030(c)(3); and (iv) renumber current NASD Rule 7030(c)(4) as NASD Rule 7030(e).

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 108.1 KB
Extension No. 5PDF - 23.71 KB
Amendment No. 3 to Proposed Rule ChangePDF - 189.57 KB
Extension No. 6PDF - 23.72 KB
Amendment No. 4 to Proposed Rule ChangePDF - 157.05 KB
Extension No. 7PDF - 23.72 KB
Approval OrderPDF - 65.76 KB
Federal Register NoticePDF - 63.99 KB
Response to CommentsPDF - 96.33 KB
Amendment No. 1 to Proposed Rule ChangePDF - 41.65 KB
Amendment No. 2 to Proposed Rule ChangePDF - 106.09 KB
Extension No. 1PDF - 19.56 KB
Extension No. 2PDF - 19.53 KB
Extension No. 3PDF - 19.7 KB
Extension No. 4PDF - 19.76 KB