Permanent Approval of Fees for the Trade Reporting and Compliance Engine (TRACE)

NASD has filed with the SEC a proposed rule change to amend NASD Rule 7010(k) relating to fees for the Trade Reporting and Compliance Engine (“TRACE”), and is seeking permanent approval of the TRACE fee structure prior to the expiration of the pilot program for fees on January 31, 2004.

DateTitleFormat - SizeStatus
10/14/2003Text of Proposed Rule ChangePDF - 119.14 KB
10/22/2003Amendment No. 1 to Proposed Rule ChangePDF - 10.63 KB
11/4/2003Federal Register NoticePDF - 71.64 KB
12/8/2003Extension LetterPDF - 5.07 KB
12/19/2003Extension No. 2PDF - 5.07 KB
12/29/2003Amendment No. 2 and Response to CommentsPDF - 21.32 KB
1/15/2004ClarificationPDF - 7.71 KB
1/23/2004Approval OrderPDF - 45.72 KB