Notice
19 Sep 2025
transaction reporting, securities regulation, finra, trace, compliance
📈FINRA Rule Change on Transaction Reporting for Securities
The SEC approves FINRA's proposal to maintain a 15-minute outer limit timeframe for reporting transactions in TRACE-eligible securities. This decision follows extensive discussions with member firms regarding the challenges of shorter reporting timeframes. The rule change is set to streamline reporting processes while supporting compliance clarity for financial institutions.
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Notice
25 Jul 2025
compliance, sec, securities regulation, finra, transaction reporting
📈FINRA Proposes Amendments to Transaction Reporting Rule 6730
The SEC released a notice on FINRA's proposed amendment to Rule 6730, which seeks to retain the 15-minute reporting limit for TRACE-eligible securities. This amendment includes options for reporting allocations across customer accounts, currently under consideration as the SEC extends the review period to gather more input on the changes.
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