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Amendments to Trace Reports Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports – Effective Date

November 2, 2015

Amendments to the TRACE reporting rules were approved by the SEC to the to permit FINRA to implement a new contra-party type for use by firms in identifying transactions with non-member affiliates. The amendment also requires firms to separately identify transactions with non-member affiliates that occur within the same day, at the same price and in the same security as a trade with another contra-party. The amendment will become effective on November 2, 2015.


November 2, 2015
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