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.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 68.15 KB
Federal Register NoticePDF - 200.98 KB
Response to CommentsPDF - 62.56 KB
Notice of Designation of a Longer Period for Commission ActionPDF - 172.29 KB
Approval OrderPDF - 197.09 KB