Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Define Asset-Backed Securities, Mortgage-Backed Securities, and Other Similar Securities as TRACE-Eligible Securities and Require the Reporting of Transactions in Such Securities to TRACE

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Date Received
Date Letter Type Commenter Name
Public Comment Association of Mortgage Investors, c/o Micah S. Green, Esq., Patton Boggs LLP
Public Comment Randolph C. Snook, Senior Managing Director and Executive Vice President, Securities Industry and Financial Markets Association
Public Comment Mike Nicholas, Chief Executive Officer, Regional Bond Dealers Association
Public Comment Sharon Zackula, Associate Vice President and Associate General Counsel, Financial Industry Regulatory Authority
Public Comment George P. Miller, Executive Director, American Securitization Forum, and Randolph C. Snook, Senior Managing Director and Executive Vice President, Securities Industry and Financial Markets Association
Public Comment John Higum, Alexandria Capital Management Inc., Bentonville, Arkansas
Public Comment Willard Stein, Ph.D., CFA, Princeton, New Jersey
Public Comment Beth N. Lowson, Esq., The Nelson Law Firm, LLC, White Plains, New York

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2009-065
Release Number
34-60860
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