Regulatory Notice 10-55

FINRA Establishes a New Effective Date for Reporting Asset-Backed Securities to TRACE and Related Rule Changes

Effective Date: May 16, 2011

FINRA is establishing a new effective date of May 16, 2011, for reporting Asset-Backed Securities to TRACE.

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, Office of General Counsel, at (202) 728-8985.