Corporate and Financial Weekly Digest - Volume XII, Issue 24

BROKER-DEALER -

FINRA Proposes to Make New TRACE Security Activity Reports Available -

On June 19, the Financial Industry Regulatory Authority filed a proposed rule amendment that would make new Trade Reporting and Compliance Engine (TRACE) Security Activity Reports available. Currently, FINRA Rule 7730 enumerates the TRACE data products that FINRA offers in connection with TRACE-Eligible Securities (i.e., certain debt and US Treasury securities). Under the amendment, Rule 7730 would provide for a TRACE Security Activity Report, which would include monthly aggregated statistics by security for corporate and agency bonds.

Please see full publication below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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