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Notice Rule

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

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

View Received Comments

Last Reviewed or Updated: Dec. 17, 2015

Resources

Notice Rule: SEC Issued Version (pdf 132.71 KB)

Notice Rule: Federal Register Version

Exhibit 5

Details

Public Comments Due

Jan. 13, 2016

File Number

SR-FINRA-2015-055

Rule Type

Notice

Release Number

34-76677

SEC Issue Date

Dec. 17, 2015

Federal Register Publish Date

Dec. 23, 2015

Document Citation

80 FR 79966

Rules & Regulations

Enforcement & Litigation

Compliance

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

Public Comments

Resources

Details

More in this Section

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

Public Comments

Resources

Details