Trade Reporting Notice – 11/7/11

Asset-Backed Securities Transaction Reporting Pilot Program Expires November 18, 2011

A TRACE pilot program, which requires a firm to report a transaction in an asset-backed security no later than the business day following the date of execution, will expire on November 18, 2011. Upon expiration of the program, most transactions in asset-backed securities must be reported the day of execution during TRACE system hours.

Questions regarding this Notice should be directed to:

  • Patrick Geraghty, Director, Market Regulation, at (240) 386-4973;
  • Elliot R. Levine, Associate Vice President and Counsel, Transparency Services, at (202) 728-8405; or
  • Sharon Zackula, Associate Vice President and Associate General Counsel, OGC, at (202) 728-8985