Trace Reporting Resource Center

Overview

The Financial Industry Regulatory Authority’s (FINRA) Trade Reporting and Compliance Engine (TRACE), requires members to submit transaction reports in TRACE-Eligible Securities in conformity with the Rule 6700 Series.

In February 2010, the SEC approved FINRA’s proposal to amend the TRACE Rules to classify asset-backed securities, mortgage-backed securities and other similar securities as Trace-Eligible. Collectively known as Asset-Backed Securities, transactions in these securities must be reported to FINRA effective May 16, 2011 as per FINRA Regulatory Notice 10-55. 

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