Notices

Regulatory Notice 21-02
FINRA Modifies TRACE Dissemination Protocols for Specified Pool Transactions
Tuesday, February 02, 2021
Regulatory Notice 20-43
FINRA Requests Comment on Enhancements to TRACE Reporting for U.S. Treasury Securities
Wednesday, December 23, 2020
Regulatory Notice 20-29
FINRA Requests Comment on the Practice of Pennying in the Corporate Bond Market
Monday, August 17, 2020
Regulatory Notice 20-24
FINRA Requests Comment on Proposed Changes to TRACE Reporting Relating to Delayed Treasury Spot and Portfolio Trades
Thursday, July 16, 2020
Regulatory Notice 19-30
SEC Approves Amendments Relating to Transactions in U.S. Treasury Securities Executed to Hedge a Primary Market Transaction
Thursday, September 19, 2019
Regulatory Notice 19-25
FINRA Requests Comment on a Proposal to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE
Friday, July 26, 2019
Trade Reporting Notice – 7/19/19
FINRA Reminds Firms of Their Obligations Regarding TRACE Reporting
Friday, July 19, 2019
Regulatory Notice 19-22
FINRA Requests Comment on a Proposal to Publish ATS Volume Data for Corporate Bonds and Agency Debt Securities on FINRA’s Website
Tuesday, July 09, 2019
Regulatory Notice 19-12
FINRA Requests Comment on a Proposed Pilot Program to Study Recommended Changes to Corporate Bond Block Trade Dissemination
Friday, April 12, 2019
Trade Reporting Notice – 1/22/19
TRACE Reporting of OTC Transactions in Listed Bonds
Tuesday, January 22, 2019
Trade Reporting Notice – 1/9/19
U.S. Treasury Security Auction Awards
Wednesday, January 09, 2019
Regulatory Notice 18-35
SEC Approves Rule Change to Modify the Dissemination Protocols for Agency Debt Securities
Tuesday, October 16, 2018
Regulatory Notice 18-34
SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities
Thursday, October 04, 2018
Regulatory Notice 18-09
FINRA Updates Designation Criteria to Require Firms Reporting U.S. Treasury Securities to TRACE to Participate in FINRA’s Business Continuity/Disaster Recovery Testing
Wednesday, March 07, 2018
Regulatory Notice 17-36
SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File
Friday, November 03, 2017
Regulatory Notice 17-24
FINRA Issues Guidance on the Enhanced Confirmation Disclosure Requirements in Rule 2232 for Corporate and Agency Debt Securities
Wednesday, July 12, 2017
Regulatory Notice 17-23
SEC Approves Rule Change to Reduce the Delay Period for the Corporate and Agency Debt Historic TRACE Data Sets
Tuesday, July 11, 2017
Trade Reporting Notice – 6/12/17
Effective Date for Required Use of TRACE for Treasuries Modifiers
Monday, June 12, 2017
Trade Reporting Notice – 4/3/17
FINRA Updates the Transparency Services FINRA Participant Agreement
Monday, April 03, 2017
Regulatory Notice 17-08
SEC Approves Amendments to Require Mark-Up/Mark-Down Disclosure on Confirmations for Trades With Retail Investors in Corporate and Agency Bonds
Wednesday, February 15, 2017
Regulatory Notice 16-43
SEC Approves Rule Amendment to Create a New Academic Corporate Bond TRACE Data Product
Wednesday, November 16, 2016
Regulatory Notice 16-39
SEC Approves Rule Change to Require Reporting of Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine (TRACE)
Wednesday, October 19, 2016
Regulatory Notice 16-38
SEC Approves Amendments to Disseminate Collateralized Mortgage Obligation (CMO) Transactions and to Reduce the Reporting Time for CMO Transactions
Monday, October 17, 2016
Regulatory Notice 16-30
FINRA Reminds Firms of their Obligation to Report Accurately the Time of Execution for Transactions in TRACE-eligible Securities
Wednesday, August 10, 2016
Regulatory Notice 16-15
Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
Wednesday, April 27, 2016