Additional Time to Report Certain Newly-Reportable TRACE Transactions

SEC Release (FINRA Rulemaking)

The SEC declared immediately effective a FINRA provide members until Feb. 28, 2011 to report certain TRACE transactions that recently became subject to the reporting rules. The extension applies to trades effected between 3/1/2010 and 11/30/2010 in securities not identified by a CUSIP.

Document Number

SR-FINRA-2011-011

SEC Release 34-63709

Date

January 12, 2011

Cross References (links may require a Cabinet subscription)

FINRA Rule 6700 Series