SR-FINRA-2021-030
Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Require Members to Append Modifiers to Identify Delayed Treasury Spot and Portfolio Trades when Reporting to TRACE
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6730 to require members to append modifiers to identify delayed Treasury spot and portfolio trades when reporting to FINRA’s Trade Reporting and Compliance Engine (“TRACE”).
| Title | Format - Size | Status |
|---|---|---|
| Text of the Proposed Rule Change | PDF - 2.89 MB | |
| Federal Register Notice | PDF - 933.11 KB | |
| Notice of Designation of Longer Period for Commission Action | PDF - 197.25 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 2.18 MB | |
| Approval Order | PDF - 278.65 KB |