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SEC Delays Action on FINRA Transaction Reporting Proposal (Fed. Reg.)

The SEC delayed action on a proposed rule change to amend FINRA Rule 6730 ("Transaction Reporting"). A notice of the delay was published in the Federal Register.

The FINRA-proposed amendment requires an indicator when the TRACE report does not reflect a commission or markup/markdown. SEC action is delayed until November 5, 2015.

Primary Sources

  1. Notice of Designation of a Longer Period for Commission Action (80 FR 55671)
  2. Notice of Filing of a Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-Up

Tags

Regulated Activities
Trade Reporting
Sub-Activity
TRACE
Regulated Entities
Broker-Dealers Regulatory Agencies
Sub-Entity
Securities SROs
Regulated Products
Debt
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
SEC