FINRA is soliciting comment on potential enhancements to the information reported to FINRA’s TRACE facility regarding transactions in U.S. Treasury securities. Specifically, FINRA is seeking comment on potential changes to TRACE reporting for U.S. Treasury securities that would require: (1) more gr...
putting NASD in a sound financial position to pursue its regulatory mission; led the creation of new rules in critical areas such as analyst conflicts of interest and mutual fund breakpoints; created the NASD Investor Education Foundation; established the TRACE bond price ...
All broker/dealers who are FINRA member firms have an obligation to report transactions in corporate bonds to TRACE under an SEC approved set of rules. Originality/value – These are direct excerpts designed to provide a useful digest for the reader and an indication of regulatory trends.doi:...