*Letters

FINRA Proposal to Amend Trade Reporting Rules

Published on:
January 24, 2008

SIFMA provides comments to the SEC on a proposal to amend trade reporting rules to require related market center indicator on certain non-tape reports submitted to Financial Industry Regulatory Authority (FINRA), Securities Exchange Act Releases No. 57020, File No. SR-FINRA-2007-12.  SIFMA believes consideration of the proposal should be delayed considering the regulatory harmonization efforts currently underway. SIFMA also questions whether the benefits of the proposal out weigh the various costs that will incurred by FINRA members.

Details

Download

More Content

  • Amicus Briefs
    Oct 05, 2026

    In re The Boeing Company Securities Litigation

  • Letters
    Oct 05, 2026

    Reducing Duplicative Regulation and Expanding Exemptions for Commodity Pool Operators and Commodity Trading Advisors

    SIFMA AMG comments on CFTC proposals to reduce duplicative regulation for certain CPOs and CTAs and account for inflation.
  • Letters
    Sep 30, 2026

    Proposed Rule Change to Amend FINRA Rules 0150, 2165, 4512 and to Adopt FINRA Rule 2166

    SIFMA Comments to SEC in support of the proposed rule changes to improve the utilization of Rules 2165 and 4512, as well as the new Rule 2166 to allow for a temporary delay for suspected fraud.

Get the latest trends, stats, and research on financial markets and securities.