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Proposed Rule Change to Amend FINRA Rule 6700 Series (Trade Reporting and Compliance Engine)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Rule 6700 Series (Trade Reporting and Compliance Engine (TRACE)) to require members to identify transactions with non-member affiliates, and to change how FINRA disseminates a specific subset of these transactions.

Title Format - Size Status
Text of Proposed Rule Change PDF - 142.96 KB
Federal Register Notice PDF - 199.75 KB
Extension No. 1 PDF - 54.48 KB
Amendment No. 1 and Response to Comments PDF - 59.27 KB
Approval Order PDF - 207.66 KB