Regulatory Notice 14-53

FINRA Reminds Alternative Trading Systems (ATSs) and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities

Executive Summary

FINRA is publishing this Notice to remind firms of their TRACE trade reporting obligations for transactions in TRACE-eligible securities occurring through an ATS.

Questions regarding this Notice should be directed to:

  • Patrick Geraghty, Vice President, Market Regulation, at (240) 386-4973 or
  • Racquel Russell, Associate General Counsel, Office of General Counsel, at (202) 728-8363.