Proposed Rule Change to Require Members to Report the Factor to TRACE in Asset-Backed Security Transactions (except if traded TBA), in the Limited Instances When Members Effect Such Transactions as Agent and Charge a Commission
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend FINRA Rule 6730(d)(2) to require a member to report to Trade Reporting and Compliance Engine (TRACE) the Factor used to determine the size (volume) of each transaction in an Asset-Backed Security (except an Asset-Backed Security traded To Be Announced), in the limited instances when members effect such transactions as agent and charge a commission.
|Date||Title||Format - Size||Status|
|11/28/2012||Text of Proposed Rule Change||PDF - 68.15 KB|
|12/18/2012||Federal Register Notice||PDF - 200.98 KB|
|1/15/2013||Response to Comments||PDF - 62.56 KB|
|2/5/2013||Notice of Designation of a Longer Period for Commission Action||PDF - 172.29 KB|
|3/12/2013||Approval Order||PDF - 197.09 KB|