Proposed Rule Change Relating to TRACE Fees for Securities Act Rule 144A Transaction Data

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 7730 to: (1) provide for Trade Reporting and Compliance Engine (“TRACE”) data fees for real-time and historic data sets of transactions in TRACE-Eligible Securities that are effected pursuant to Rule 144A under the Securities Act of 1933 (“Rule 144A transactions”); (2) clarify Level II Full Service Web Browser fee rates in light of the availability of additional data sets; and (3) make other technical amendments.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 120.32 KB
Notice of Filing and Immediate EffectivenessPDF - 207.9 KB