SR-FINRA-2009-010

Proposed Rule Change Relating to the Expansion of TRACE to Include Agency Debt Securities and Primary Market Transactions

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Rule 6700 Series (except for Rules 6720 and 6740) and FINRA Rule 7730 to expand TRACE to include Agency debt securities and primary market transactions.

DateTitleFormat - SizeStatus
3/4/2009Text of Proposed Rule ChangePDF - 188.04 KB
9/14/2009Extension No. 5PDF - 23.77 KB
10/2/2009Approval OrderPDF - 75.77 KB
4/8/2009Amendment No. 1 to Proposed Rule ChangePDF - 207.24 KB
4/16/2009Federal Register NoticePDF - 81.72 KB
5/15/2009Extension No. 1PDF - 23.5 KB
6/18/2009Extension No. 2PDF - 23.53 KB
7/22/2009Extension No. 3PDF - 23.7 KB
8/12/2009Extension No. 4PDF - 23.67 KB
8/26/2009Response to CommentsPDF - 397.18 KB
8/26/2009Amendment No. 2 to Proposed Rule ChangePDF - 160.54 KB