Proposed Rule Change to Adopt a FINRA Policy to Expand Disseminated Transaction Reporting and Compliance Engine ("TRACE") Data

Financial Industry Regulatory Authority, Inc. ("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 adopt a FINRA policy to expand disseminated Transaction Reporting and Compliance Engine ("TRACE") data to show, for each disseminated transaction, that the transaction is an inter-dealer transaction ("Dealer Transaction") or a transaction with a customer ("Customer") ("Customer Transaction") and the member referenced is a buyer ("Buyer") or a seller ("Seller") (or acts as agent on the buy or the sell side). FINRA solicits comment on the proposed rule change. The proposed rule change does not include proposed rule text.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 106.87 KB
Amendment No. 1 to Proposed Rule ChangePDF - 109.92 KB
Federal Register NoticePDF - 81.72 KB
Approval OrderPDF - 57.73 KB