SEC Approves Amendments to TRACE Relating to Asset-Backed Securities

FINRA RN 11-20

May 2, 2011

FINRA published a regulatory notice to announce that May 16, 2011 will be the effective date of amendments to the FINRA rules that subject asset-backed securities, mortgage-backed securities, and other similar securities to trade reporting through TRACE and the fees associated with it.

Cross References

FINRA Rule 6700 Series (TRACE Rules)

FINRA Rule 7730

SEC Release No. 34-64364 (approving rule amendments)

SEC Release No. 34-64041 (approving fee amendments)

SEC Release No. 34-61566 (approving rule changes subjecting ABS to TRACE)