SR-FINRA-2015-037

Proposed Rule Change to Extend the TRACE Pilot Program in FINRA Rule 6730(e)(4)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the pilot program in FINRA Rule 6730(e)(4) to October 27, 2017. The pilot program exempts from TRACE reporting transactions in TRACE-Eligible Securities that are executed on a facility of the New York Stock Exchange (“NYSE”), subject to specified conditions.

TitleFormat - SizeStatus
Text of the Proposed Rule ChangePDF - 59.63 KB
Notice of Filing and Immediate Effectiveness PDF - 198.18 KB