SR-FINRA-2012-052

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.

DateTitleFormat - SizeStatus
11/28/2012Text of Proposed Rule ChangePDF - 68.15 KB
12/18/2012Federal Register NoticePDF - 200.98 KB
1/15/2013Response to CommentsPDF - 62.56 KB
2/5/2013Notice of Designation of a Longer Period for Commission ActionPDF - 172.29 KB
3/12/2013Approval OrderPDF - 197.09 KB