SR-FINRA-2009-010
Proposed Rule Change Relating to the Expansion of TRACE to Include Agency Debt Securities and Primary Market Transactions
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Rule 6700 Series (except for Rules 6720 and 6740) and FINRA Rule 7730 to expand TRACE to include Agency debt securities and primary market transactions.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 188.04 KB | |
| Extension No. 5 | PDF - 23.77 KB | |
| Approval Order | PDF - 75.77 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 207.24 KB | |
| Federal Register Notice | PDF - 81.72 KB | |
| Extension No. 1 | PDF - 23.5 KB | |
| Extension No. 2 | PDF - 23.53 KB | |
| Extension No. 3 | PDF - 23.7 KB | |
| Extension No. 4 | PDF - 23.67 KB | |
| Response to Comments | PDF - 397.18 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 160.54 KB |