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FINRA Releases FAQ Regarding TRACE Reporting

FINRA addressed several trade reporting issues in connection with reporting transactions in TRACE-eligible securities to the Trade Reporting and Compliance Engine ("TRACE") system. FINRA addressed the following topics:

  • Split-volume reporting;
  • Reporting investment adviser-directed transactions;
  • Reporting Securities Act Regulation S transactions;
  • Transfers establishing the underwriting syndicate;
  • Firm commitments prior to final pricing;
  • Transfers facilitating settlement; and
  • Reporting collateralized mortgage obligations.

See: FINRA Trade Reporting Notice.

Tags

Regulated Activities
Trade Reporting
Sub-Activity
TRACE
Regulated Entities
Broker-Dealers
Regulated Products
Debt
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA