Join FINRA Senior Leaders as they provide an update on the CE transformation and CAT implementation.

Compliance professionals at member firms are invited to join FINRA staff for a demo of upcoming system enhancements in support of rule changes detailed in Regulatory Notice 21-41. Attendees are able to submit advance questions as part of the webinar registration process, and FINRA will answer selected questions during the session. Space is limited, and a recording will made available in the future.

Rule Filing Status:  Approved

Rule change to amend FINRA Rule 6730 to: (i) require members to report electronically executed transactions in U.S. Treasury Securities to TRACE in the finest increment captured by the system used to execute the transaction, subject to an exception for members with limited trading volume in U.S. Treasury Securities; and (ii) reduce the trade reporting timeframe for transactions in U.S. Treasury Securities to generally require reporting to TRACE as soon as practicable but no later than 60 minutes.

Rule Filing Status:  Approved

Rule change to amend FINRA Rule 6730 to: (i) require members to report electronically executed transactions in U.S. Treasury Securities to TRACE in the finest increment captured by the system used to execute the transaction, subject to an exception for members with limited trading volume in U.S. Treasury Securities; and (ii) reduce the trade reporting timeframe for transactions in U.S. Treasury Securities to generally require reporting to TRACE as soon as practicable but no later than 60 minutes.