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Proposed Rule Change to Make Permanent the TRACE Exemption in FINRA Rule 6730(e)(4)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 6730 to make permanent an exemption from TRACE reporting transactions in TRACE-Eligible Securities that are executed on a facility of the New York Stock Exchange (“NYSE”), subject to specified conditions.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 61.23 KB
Notice of Filing and Immediate Effectiveness PDF - 213.18 KB