SR-FINRA-2014-050

Proposed Rule Change to Amend FINRA Rule 6700 Series (Trade Reporting and Compliance Engine)

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 (Trade Reporting and Compliance Engine (TRACE)) to require members to identify transactions with non-member affiliates, and to change how FINRA disseminates a specific subset of these transactions.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 142.96 KB
Federal Register NoticePDF - 199.75 KB
Extension No. 1PDF - 54.48 KB
Amendment No. 1 and Response to CommentsPDF - 59.27 KB
Approval OrderPDF - 207.66 KB