Comments on FINRA Rulemaking

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide FINRA with Authority to Grant Exemptions from TRACE Reporting Requirements for Certain ATS Transactions

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Date Received
Date Letter Type Commenter Name
Public Comment Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters
Public Comment John McCarthy, General Counsel, KCG Holdings, Inc., and William Vulpis, Managing Director, KCG BondPoint
Public Comment Mike Nicholas, CEO, Bond Dealers of America, Washington, District of Columbia
Public Comment Sean C. Davy, Managing Director, Capital Markets, SIFMA

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2015-055
Release Number
34-76677
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