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SR-FINRA-2018-023

Proposed Rule Change to Amend FINRA Rule 6730 Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities

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 require alternative trading systems (“ATSs”) that report transactions in U.S. Treasury Securities to the Transaction Reporting and Compliance Engine (“TRACE”) to identify non-FINRA member subscribers on those transaction reports.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 266.63 KB
Federal Register Notice PDF - 208.95 KB
Notice of Designation of a Longer Period for Commission Action PDF - 192.24 KB
Response to Comments PDF - 209.7 KB
Approval Order PDF - 211.65 KB