Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down
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 6730 (Transaction Reporting) to require an indicator when the TRACE report does not reflect a commission or mark-up/mark-down.
|Title||Format - Size||Status|
|Text of Proposed Rule Change||PDF - 91.63 KB|
|Federal Register Notice||PDF - 208.18 KB|
|Notice of Designation of a Longer Period for Commission Action||PDF - 193.56 KB|
|Amendment No. 1 to Proposed Rule Change||PDF - 52.77 KB|
|Approval Order||PDF - 198.71 KB|