Notices

Regulatory Notice 15-47
SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report
Monday, November 23, 2015
Regulatory Notice 15-41
SEC Approves Amendments to Require Firms to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
Tuesday, October 27, 2015
Regulatory Notice 15-26
FINRA Requests Comment on a New Academic TRACE Data Product
Thursday, July 16, 2015
Regulatory Notice 15-24
FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data
Tuesday, June 23, 2015
Regulatory Notice 15-14
SEC Approves Amendments to Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports
Wednesday, May 06, 2015
Regulatory Notice 15-04
FINRA Requests Comment on a Proposal to Disseminate Additional Securitized Products and to Reduce the Reporting Time Frame for These Products
Monday, February 09, 2015
Regulatory Notice 14-53
FINRA Reminds Alternative Trading Systems (ATSs) and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities
Friday, November 21, 2014
Regulatory Notice 14-34
SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions
Tuesday, August 26, 2014
Regulatory Notice 14-23
FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain “Hybrid” Securities to FINRA
Friday, May 16, 2014
Regulatory Notice 13-35
SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Rule 144A Transactions in TRACE-Eligible Securities and Related Fees
Wednesday, October 30, 2013
Regulatory Notice 12-56
SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Specified Pool Transactions and SBA-Backed ABS Transactions and to Reduce the Time to Report Such Transactions
Thursday, December 20, 2012
Regulatory Notice - 13-09
SEC Approves Amendments to Establish Two Optional TRACE Data Delivery Services and Related Fees
Thursday, February 28, 2013
Regulatory Notice 13-15
SEC Approves Amendments to FINRA Rule 6730(d)(2) Requiring Firms to Report Factor in Asset-Backed Securities Transactions Executed in Agency Capacity and Subject to Commission Charges
Friday, April 12, 2013
Trade Reporting Notice - 4/16/13
Reduction of Reporting Times for Agency Pass-Through Mortgage-Backed Securities Traded TBA
Wednesday, April 17, 2013
Regulatory Notice 13-24
FINRA Announces Modifications Regarding Historic TRACE Data
Monday, July 22, 2013
Trade Reporting Notice - 8/1/13
Frequently Asked Questions Regarding TRACE Reporting
Thursday, August 01, 2013
Regulatory Notice 12-53
FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy
Monday, December 03, 2012
Regulatory Notice 12-26
SEC Approves Amendments to TRACE Reporting Requirements and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related Fees
Monday, May 21, 2012
Regulatory Notice 12-39
FINRA Requests Comment on TRACE Dissemination Issues
Wednesday, September 05, 2012
Regulatory Notice 12-48
FINRA Changes the Effective Date for Amendments to TRACE Rules Relating to the Reporting and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related TRACE Fees in FINRA Rule 7730 from November 5, 2012, to November 12, 2012
Thursday, November 01, 2012
Trade Reporting Notice - 12/21/11
FINRA Addresses Frequently Asked Questions About TRACE Reporting Issues
Wednesday, December 21, 2011
Trade Reporting Notice - 5/10/11
Reporting Asset-Backed Securities to the Trade Reporting and Compliance Engine (TRACE)
Tuesday, May 10, 2011
Regulatory Notice 10-55
FINRA Establishes a New Effective Date for Reporting Asset-Backed Securities to TRACE and Related Rule Changes
Wednesday, October 27, 2010
Regulatory Notice 10-23
SEC Approves Reporting Asset-Backed Securities Transactions to TRACE and Related Fees
Friday, April 23, 2010
Regulatory Notice 10-14
SEC Approves Access to Historic TRACE Data and Related Fees
Friday, March 05, 2010