Notices

Regulatory Notice 09-57
SEC Approves Amendments Expanding TRACE to Include Agency Debt Securities and Primary Market Transactions
Tuesday, September 29, 2009
Regulatory Notice 09-21
FINRA Adopts Amendments Relating to Reporting Transfers of Proprietary Positions in Debt and Equity Securities in Connection With Certain Corporate Control Transactions
Wednesday, April 15, 2009
Regulatory Notice 09-24
SEC Approves Amendments Expanding the Definition of "TRACE-Eligible Security"
Friday, May 15, 2009
Trade Reporting Notice - 2/22/08
FINRA Announces Modifications to the TRACE System Relating to Certain Securities with Equity CUSIPs and Reminds Firms of Their Reporting Obligations Regarding Equity-Linked Notes and Convertible Debt
Friday, February 22, 2008
Regulatory Notice 07-61
SEC Approves Exemption from TRACE Reporting Requirements for Certain "Derivative-Related Transactions"
Tuesday, December 11, 2007
Notice to Members 07-15
SEC Approves Amendments to TRACE Rules to Reflect the Availability of TRACE "Snapshot" Data for a Reduced Monthly Fee;
Monday, March 26, 2007
Notice to Members 07-18
SEC Approves Amendments to TRACE Reporting Exempting Trades in TRACE-Eligible Securities Conducted on a Facility of, and Reported to, the New York Stock Exchange;
Thursday, April 26, 2007
Notice to Members 07-21
Reporting of Transactions in TRACE-Eligible Securities With Execution Dates More Than T+365 Days Before Date of Report;
Friday, May 04, 2007
Notice to Members 06-01
SEC Approves Immediate Dissemination of Information on TRACE Transactions
Tuesday, January 03, 2006
Notice to Members 05-28
NASD Reminds Members that the TRACE Reporting Period Will Be Reduced to 15 Minutes on July 1, 2005, and Rescinds Interpretive Guidance Regarding Rejected TRACE Transaction Reports
Thursday, April 14, 2005
Notice to Members 05-37
NASD Restructures Certain TRACE Fees for Market Data and Amends the Definition of "Non-Professional" in Connection with TRACE Market Data
Tuesday, May 17, 2005
Notice to Members 05-52
SEC Approves Amendments to TRACE Fee Structure Establishing an Enterprise Fee and Lowering Fee for Receipt of Real-Time TRACE Transaction Data via Web Browser
Wednesday, August 17, 2005
Notice to Members 05-77
Transactions in TRACE-Eligible Securities That Occur in Connection with Options, Credit Default Swaps, Other Swaps or Similar Instruments Must Be Reported to TRACE
Wednesday, November 09, 2005
Notice to Members 04-65
SEC Approves Amendments to TRACE Rules to Disseminate Transaction Information on All TRACE-Eligible Securities, Modify and Supplement Defined Terms, and Enhance Notification Requirements
Wednesday, September 08, 2004
Notice to Members 04-90
NASD Issues Interpretive Guidance Regarding Various Trade Reporting and Compliance Engine (TRACE) Rules
Wednesday, December 08, 2004
Notice to Members 05-02
Stage Two of the Expansion of Dissemination of TRACE Transaction Data to Begin on February 7, 2005 Instead of February 1, 2005
Tuesday, January 04, 2005
Notice to Members 05-05
NASD Eliminates the TRACE Bond Transaction Data Service (BTDS) Non-Professional Real-Time Data Display Fee and the BTDS Professional Delayed-Time Data Display Fee Pilot Program
Tuesday, January 25, 2005
Notice to Members 04-51
SEC Approves Amendments to TRACE Rule 6230 to Reduce the Reporting Period to 30 Minutes on October 1, 2004, and to 15 Minutes on July 1, 2005
Wednesday, July 14, 2004
Notice to Members 01-18
SEC Approves Rules to Require Fixed Income Transaction Reporting and Dissemination
Sunday, March 11, 2001
Notice to Members 03-12
SEC Approves Amendments to TRACE Rule 6250 and Other TRACE Rules: Transaction Information to be Disseminated on More Than 4,000 Corporate Debt Securities
Friday, February 14, 2003
Notice to Members 02-76
Issues Interpretive Guidance to the Trade Reporting and Compliance Engine Rules (TRACE Rules)
Thursday, October 31, 2002
Notice to Members 03-45
SEC Approves Amendments to TRACE Rule 6260 to Require New Issue Notifications to Include Dissemination Eligibility Information and Be Submitted in Writing
Tuesday, August 19, 2003
Notice to Members 03-36
SEC Approves Amendments to TRACE Rule 6230 to Reduce the Reporting Period to 45 Minutes
Monday, June 30, 2003
Notice to Members 03-58
NASD Issues Interpretive Guidance to the Trade Reporting and Compliance Engine Rules (TRACE Rules)
Tuesday, September 30, 2003
Notice to Members 04-39
SEC Approves Amendments to Clarify the Term "TRACE-Eligible Security" and to Expand the Scope of an Exemption from TRACE Reporting Requirements;
Wednesday, May 19, 2004