Comments on FINRA Rulemaking

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; 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

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Chris Killian, Managing Director, Securitization and Credit, SIFMA
Public Comment Joanna Mallers, Secretary, PTG
Public Comment Scott Pintoff, General Counsel, MarketAxess Holdings Inc.

Last Reviewed or Updated: May 27, 2026

File Number
SR-FINRA-2026-009
Release Number
34-105352
Related Materials
How to submit comments