Dissemination of Transactions in TRACE-Eligible Securities that are Effected Pursuant to Securities Act Rule 144A

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend: (1) FINRA Rule 6750 and the Trade Reporting and Compliance Engine (“TRACE”) dissemination protocols regarding the dissemination of transactions in TRACE-Eligible Securities that are effected pursuant to Rule 144A under the Securities Act of 1933 (“Rule 144A transactions”); (2) FINRA Rule 7730 to establish real-time and historic data sets for Rule 144A transaction data; and (3) FINRA Rule 7730 to clarify the definition of Historic TRACE Data, to clarify other provisions therein and incorporate other technical amendments.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 5.64 MB
Federal Register NoticePDF - 212.56 KB
Approval OrderPDF - 203.37 KB