SR-FINRA-2017-032

Proposed Rule Change to Make Permanent the TRACE Exemption 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 amend Rule 6730 to make permanent an exemption 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 - 61.23 KB
Notice of Filing and Immediate EffectivenessPDF - 213.18 KB