SR-FINRA-2009-065

Proposed Rule Change Relating to the Expansion of TRACE to Include Asset-Backed Securities, Mortgage-Backed Securities and Other Similar Securities

Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the FINRA Rule 6700 Series (except for Rule 6740) and FINRA Rule 7730 to designate asset-backed securities, mortgage-backed securities and other similar securities (collectively defined hereinafter as "Asset-Backed Securities") as Trade Reporting and Compliance Engine ("TRACE") TRACE-Eligible Securities, and establish reporting, fee and other requirements relating to such securities as follows

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 222.1 KB
Federal Register NoticePDF - 75.92 KB
Extension No. 1PDF - 23.13 KB
Response to CommentsPDF - 44.49 KB
Extension No. 2PDF - 19.76 KB
Amendment No. 1 to Proposed Rule ChangePDF - 115.73 KB
Extension No. 3PDF - 19.77 KB
Approval OrderPDF - 72.51 KB