Proposed Rule Change to Amend FINRA Rule 6730 Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities
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 require alternative trading systems (“ATSs”) that report transactions in U.S. Treasury Securities to the Transaction Reporting and Compliance Engine (“TRACE”) to identify non-FINRA member subscribers on those transaction reports.
|Title||Format - Size||Status|
|Text of the Proposed Rule Change||PDF - 266.63 KB|
|Federal Register Notice||PDF - 208.95 KB|
|Notice of Designation of a Longer Period for Commission Action||PDF - 192.24 KB|
|Response to Comments||PDF - 209.7 KB|| |
|Approval Order||PDF - 211.65 KB|| |