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Notice Rule

Notice of Filing of a Proposed Rule Change to Amend the FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) (TRACE) to Expand the Scope of the Non-Member Affiliate—Principal Transaction Indicator to Also Include Member Affiliates

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2026-009

Last Reviewed or Updated: May 6, 2026

Resources

Notice Rule: SEC Issued Version (pdf 224.5 KB)

Exhibit 5

Details

Public Comments Due

May 27, 2026

File Number

SR-FINRA-2026-009

Rule Type

Notice

Release Number

34-105352

SEC Issue Date

May 1, 2026

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of a Proposed Rule Change to Amend the FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) (TRACE) to Expand the Scope of the Non-Member Affiliate—Principal Transaction Indicator to Also Include Member Affiliates

Public Comments

Resources

Details

More in this Section

Notice of Filing of a Proposed Rule Change to Amend the FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) (TRACE) to Expand the Scope of the Non-Member Affiliate—Principal Transaction Indicator to Also Include Member Affiliates

Public Comments

Resources

Details