Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Require Members to Report the Factor to TRACE in Asset-Backed Security Transactions (Except an Asset-Backed Security Traded TBA), in the Limited Instances When Members Effect Such Transactions as Agent and Charge a Commission)

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Date Received
Date Letter Type Commenter Name
Public Comment Kathryn Moore, Assistant General Counsel, Washington, District of Columbia
Public Comment Mark Sokolow

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2012-052
Release Number
34-68414
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