FINRA is hosting a CTCI migration conference call on Wednesday, Dec. 5, 2018, 2-3 p.m. Eastern Time, to discuss the upcoming migration. Effective Feb. 3, 2020, FIX will be the … Continue reading FINRA CTCI migration conference call
Effective August 28, 2017, FINRA will make several changes to the TRACE New Issue Form, TRACE Order Form and FINRA Participation Agreement. On that date, the name of the TRACE … Continue reading FINRA Transparency Services Forms Updates
Effective October 2, 2017, FINRA is reducing the delay period applicable to Historic TRACE Data for corporate bonds and agency debt, including Rule 144A transactions in such securities, from 18 months … Continue reading Rule Change to Reduce the Delay Period for TRACE
The SEC approved amendments to the Trade Reporting and Compliance Engine (TRACE) rules to codify that firms are required to report transactions in TRACE-eligible securities that are subject to dissemination as soon as practicable following the time of execution of the transaction. The amendment will become effective on November 30, 2015.The amended rule text is available in the online FINRA Manual.
FINRA is hosting a WebEx presentation discussing new and updated fixed income Report Cards.
FINRA is soliciting comment on a proposal to create a new Academic TRACE Data product that would be available to institutions of higher education. FINRA and the Municipal Securities Rulemaking … Continue reading Comment Period Ends: Academic TRACE Data product
The comment period ends on August 24, 2015 for a FINRA proposal to reduce the delay period for the Historic TRACE Data Sets from 18 months to six months. For … Continue reading Comment Period Ends: Reduction of Delay Period for Historic TRACE Data
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 … Continue reading Amendments to Trace Reports Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports – Effective Date
The SEC approved amendments to the Trade Reporting and Compliance Engine (TRACE) rules and dissemination protocols to provide for dissemination of transactions in an additional group of asset-backed securities and … Continue reading Effective Date for Amendments to TRACE rules