Letters

Proposed Rule Change to Make Available New TRACE Security Activity Report

Summary

SIFMA provided comments to the Securities Exchange Commission (SEC) on proposed rule change to amend FINRA Rule 7730, to make available a new trade reporting and compliance engine (TRACE) security activity report. SIFMA generally supports FINRA’s efforts to design the Report to be useful to interested parties for business as well as regulatory purposes, including liquidity risk obligations pursuant to Rule 22e-4 under the Investment Company Act.

See also:
7730. Trade Reporting and Compliance Engine (TRACE) 

PDF

Submitted To

Securities Exchange Commission (SEC)

Submitted By

SIFMA

Committee

Corporate Credit Committee

Date

20

July

2017