Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the pilot program in FINRA Rule 6730(e)(4) to October 23, 2015. The pilot program exempts from reporting to the Trade Reporting and Compliance Engine (“TRACE”) transactions in TRACE-Eligible Securities that are executed on a facility of the New York Stock Exchange (“NYSE”) in accordance with NYSE Rules 1400, 1401 and 86 and reported to NYSE in accordance with NYSE’s applicable trade reporting rules and disseminated publicly by NYSE.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 57.34 KB
Notice of Filing and Immediate EffectivenessPDF - 201.2 KB