Skip to main content
Welcome to the new FINRA.org. Learn more about our updates.
Create your own user feedback survey
SR-FINRA-2015-012

Proposed Rule Change to Clarify the Scope of the Definition of “Asset-Backed Security” for Purposes of Reporting to FINRA’s Trade Reporting and Compliance Engine (TRACE) System

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to clarify the scope of the definition of “Asset-Backed Security” for purposes of reporting to FINRA’s Trade Reporting and Compliance Engine (TRACE) system.

Title Format - Size Status
Text of Proposed Rule Change PDF - 97.55 KB
Notice of Filing and Immediate Effectiveness PDF - 194.05 KB