Overview
Rules Notices Guidance News Releases
Investor Education The Trade Reporting and Compliance Engine is the FINRA-developed vehicle that facilitates the mandatory reporting of over-the-counter transactions in eligible fixed income securities. All broker-dealers who are FINRA member firms have an obligation
to report transactions in TRACE-eligible securities under an SEC-approved set of rules. Keep track of service alerts, changes to documentation and system upgrades. Download user guides and API specifications for the various TRACE
reporting systems. Find answers to common questions regarding TRACE. FINRA Rule 7730 explains the charges required for using TRACE. Download data
tables, independent research and the TRACE Fact Book. TRACE report cards help firms monitor their reporting obligations. Download the FINRA Participation Agreement (FPA), release forms, and other legal agreements pertaining
to TRACE. Sign up to receive periodic emails regarding: SUBSCRIBE FINRA Operations: (866) 776-0800 Technical Support: (212) 231-5180 Exemption From Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems Tue, 06/14/2022 - 12:00 FINRA Adopts Amendments to TRACE Reporting Rule to Require Identification of Portfolio Trades Tue, 05/24/2022 -
12:00 FINRA Modifies TRACE Dissemination Protocols for Specified Pool Transactions Tue, 02/02/2021 - 12:00 FINRA Requests Comment on Enhancements to TRACE Reporting for U.S. Treasury Securities Wed, 12/23/2020 - 12:00 FINRA Requests Comment on the Practice of Pennying in the Corporate Bond
Market Mon, 08/17/2020 - 12:00 FINRA Requests Comment on Proposed Changes to TRACE Reporting Relating to Delayed Treasury Spot and Portfolio Trades Thu, 07/16/2020 - 12:00 SEC Approves Amendments Relating to Transactions in U.S. Treasury Securities Executed to Hedge a Primary Market Transaction Thu, 09/19/2019 - 12:00 FINRA Requests Comment on a Proposal to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE Fri, 07/26/2019 - 12:00 FINRA Reminds Firms of Their Obligations Regarding TRACE Reporting Fri, 07/19/2019 - 12:00
FINRA Requests Comment on a Proposal to Publish ATS Volume Data for Corporate Bonds and Agency Debt Securities on FINRA’s Website Tue, 07/09/2019 - 12:00 FINRA Requests Comment on a Proposed Pilot Program to Study Recommended Changes to Corporate Bond Block Trade Dissemination Fri, 04/12/2019 - 12:00 TRACE
Reporting of OTC Transactions in Listed Bonds Tue, 01/22/2019 - 12:00 U.S. Treasury Security Auction Awards Wed, 01/09/2019 - 12:00 SEC Approves Rule Change to Modify the Dissemination Protocols for Agency Debt Securities Tue, 10/16/2018 - 12:00 SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities Thu, 10/04/2018 - 12:00 FINRA Updates Designation Criteria to Require Firms Reporting U.S. Treasury Securities to TRACE to Participate in FINRA's Business Continuity/Disaster Recovery Testing Wed,
03/07/2018 - 12:00 SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File Effective Date: February 1, 2018 Fri, 11/03/2017 - 12:00 FINRA Issues Guidance on the Enhanced Confirmation Disclosure Requirements in Rule 2232 for Corporate and Agency Debt Securities Wed,
07/12/2017 - 12:00 SEC Approves Rule Change to Reduce the Delay Period for the Corporate and Agency Debt Historic TRACE Data Sets Tue, 07/11/2017 - 12:00 Effective Date for Required Use of TRACE for Treasuries Modifiers Mon, 06/12/2017 - 12:00 FINRA Updates the Transparency Services FINRA Participant Agreement Mon, 04/03/2017 - 12:00 SEC Approves Amendments to Require Mark-Up/Mark-Down Disclosure on Confirmations for Trades With Retail Investors in Corporate and Agency Bonds Wed, 02/15/2017 - 12:00 SEC Approves Rule Amendment to Create a New Academic Corporate Bond TRACE Data Product Wed, 11/16/2016 - 12:00 SEC Approves Rule Change to Require Reporting of Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine (TRACE) Wed, 10/19/2016 - 12:00 SEC Approves Amendments to Disseminate Collateralized Mortgage Obligation (CMO) Transactions and to Reduce the Reporting Time for CMO Transactions Mon, 10/17/2016 - 12:00 FINRA Reminds Firms of their Obligation to Report Accurately the Time of Execution for Transactions in TRACE-eligible Securities Wed, 08/10/2016 - 12:00 Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems Wed, 04/27/2016 - 12:00 SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report Mon, 11/23/2015 - 12:00 SEC Approves Amendments to Require Firms to Report Transactions in TRACE-Eligible Securities As Soon As Practicable Tue, 10/27/2015 - 12:00 FINRA Requests Comment on a New Academic TRACE Data Product Thu, 07/16/2015 - 12:00 FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data Tue, 06/23/2015 - 12:00 SEC Approves Amendments to Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports Wed, 05/06/2015 - 12:00 FINRA Requests Comment on a Proposal to Disseminate Additional Securitized Products and to Reduce the Reporting Time Frame for These Products Mon, 02/09/2015 - 12:00 FINRA Reminds Alternative Trading Systems (ATSs) and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities Fri, 11/21/2014 - 12:00 SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions Tue, 08/26/2014 - 12:00 FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain "Hybrid" Securities to FINRA Fri, 05/16/2014 - 12:00 SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Rule 144A Transactions in TRACE-Eligible Securities and Related Fees Wed, 10/30/2013 - 12:00 Frequently Asked Questions Regarding TRACE Reporting Thu, 08/01/2013 - 12:00 FINRA Announces Modifications Regarding Historic TRACE Data Mon, 07/22/2013 - 12:00 Reduction of Reporting Times for Agency Pass-Through Mortgage-Backed Securities Traded TBA Wed, 04/17/2013 - 12:00 SEC Approves Amendments to FINRA Rule 6730(d) (2) Requiring Firms to Report Factor in Asset-Backed Securities Transactions Executed in Agency Capacity and Subject to Commission Charges Fri, 04/12/2013 - 12:00 SEC Approves Amendments to Establish Two Optional TRACE Data Delivery Services and Related Fees Thu, 02/28/2013 - 12:00 SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Specified Pool Transactions and SBA-Backed ABS Transactions and to Reduce the Time to Report Such Transactions Thu, 12/20/2012 - 12:00 FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy Mon, 12/03/2012 - 12:00 for Amendments to TRACE Rules Relating to the Reporting and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related TRACE Fees in FINRA Rule 7730 from November 5, 2012, to November 12, 2012 Thu, 11/01/2012 - 12:00 FINRA Requests Comment on TRACE Dissemination Issues Wed, 09/05/2012 - 12:00 SEC Approves Amendments to TRACE Reporting Requirements and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related Fees Mon, 05/21/2012 - 12:00 FINRA Addresses Frequently Asked Questions About TRACE Reporting Issues Wed, 12/21/2011 - 12:00 Reporting Asset-Backed Securities to the Trade Reporting and Compliance Engine (TRACE) Tue, 05/10/2011 - 12:00 FINRA Establishes a New Effective Date for Reporting Asset-Backed Securities to TRACE and Related Rule Changes Wed, 10/27/2010 - 12:00 SEC Approves Reporting Asset-Backed Securities Transactions to TRACE and Related Fees Fri, 04/23/2010 - 12:00 SEC Approves Access to Historic TRACE Data and Related Fees Effective Date: March 31, 2010 Fri, 03/05/2010 - 12:00 SEC Approves Amendments Expanding TRACE to Include Agency Debt Securities and Primary Market Transactions Tue, 09/29/2009 - 12:00 SEC Approves Amendments Expanding the Definition of "TRACE-Eligible Security" Fri, 05/15/2009 - 12:00 FINRA Adopts Amendments Relating to Reporting Transfers of Proprietary Positions in Debt and Equity Securities in Connection With Certain Corporate Control Transactions Wed, 04/15/2009 - 12:00 FINRA Announces Modifications to the TRACE System Relating to Certain Securities with Equity CUSIPs and Reminds Firms of Their Reporting Obligations Regarding Equity-Linked Notes and Convertible Debt Fri, 02/22/2008 - 12:00 SEC Approves Exemption from TRACE Reporting Requirements for Certain "Derivative-Related Transactions" Tue, 12/11/2007 - 12:00 Reporting of Transactions in TRACE-Eligible Securities With Execution Dates More Than T+365 Days Before Date of Report Fri, 05/04/2007 - 12:00 SEC Approves Amendments to TRACE Reporting Exempting Trades in TRACE-Eligible Securities Conducted on a Facility of, and Reported to, the New York Stock Exchange Thu, 04/26/2007 - 12:00 SEC Approves Amendments to TRACE Rules to Reflect the Availability of TRACE "Snapshot" Data for a Reduced Monthly Fee Mon, 03/26/2007 - 12:00 SEC Approves Immediate Dissemination of Information on TRACE Transactions Tue, 01/03/2006 - 12:00 Transactions in TRACE-Eligible Securities That Occur in Connection with Options, Credit Default Swaps, Other Swaps or Similar Instruments Must Be Reported to TRACE Wed, 11/09/2005 - 12:00 SEC Approves Amendments to TRACE Fee Structure Establishing an Enterprise Fee and Lowering Fee for Receipt of Real-Time TRACE Transaction Data via Web Browser Wed, 08/17/2005 - 12:00 NASD Restructures Certain TRACE Fees for Market Data and Amends the Definition of "Non-Professional" in Connection with TRACE Market Data Tue, 05/17/2005 - 12:00 NASD Reminds Members that the TRACE Reporting Period Will Be Reduced to 15 Minutes on July 1, 2005, and Rescinds Interpretive Guidance Regarding Rejected TRACE Transaction Reports Thu, 04/14/2005 - 12:00 NASD Eliminates the TRACE Bond Transaction Data Service (BTDS) Non-Professional Real-Time Data Display Fee and the BTDS Professional Delayed-Time Data Display Fee Pilot Program Tue, 01/25/2005 - 12:00 Stage Two of the Expansion of Dissemination of TRACE Transaction Data to Begin on February 7, 2005 Instead of February 1, 2005 Tue, 01/04/2005 - 12:00 NASD Issues Interpretive Guidance Regarding Various Trade Reporting and Compliance Engine (TRACE) Rules Wed, 12/08/2004 - 12:00 SEC Approves Amendments to TRACE Rules to Disseminate Transaction Information on All TRACE-Eligible Securities, Modify and Supplement Defined Terms, and Enhance Notification Requirements Wed, 09/08/2004 - 12:00 SEC Approves Amendments to TRACE Rule 6230 to Reduce the Reporting Period to 30 Minutes on October 1, 2004, and to 15 Minutes on July 1, 2005 Wed, 07/14/2004 - 12:00 SEC Approves Amendments to Clarify the Term "TRACE-Eligible Security" and to Expand the Scope of an Exemption from TRACE Reporting Requirements Wed, 05/19/2004 - 12:00 NASD Issues Interpretive Guidance to the Trade Reporting and Compliance Engine Rules (TRACE Rules) Tue, 09/30/2003 - 12:00 SEC Approves Amendments to TRACE Rule 6260 to Require New Issue Notifications to Include Dissemination Eligibility Information and Be Submitted in Writing Tue, 08/19/2003 - 12:00 SEC Approves Amendments to TRACE Rule 6230 to Reduce the Reporting Period to 45 Minutes Mon, 06/30/2003 - 12:00 SEC Approves Amendments to TRACE Rule 6250 and Other TRACE Rules: Transaction Information to be Disseminated on More than 4,000 Corporate Debt Securities Fri, 02/14/2003 - 12:00 NASD Issues Interpretive Guidance to the Trade Reporting and Compliance Engine Rules (TRACE Rules) Thu, 10/31/2002 - 12:00 SEC Approves Rules To Require Fixed Income Transaction Reporting And Dissemination Sun, 03/11/2001 - 12:00
What should corporate capital stock transactions should ultimately be traced to?All corporate capital stock transactions should ultimately be traced to the: Minutes of the board of directors.
Where no independent stock transfer agents are employed and the corporation issues its own stocks and maintains stock records?When no independent stock transfer agent is employed and the corporation issues its own stock and maintains stock records, canceled stock certificates should: Be defaced to prevent re issuance and attached to their corresponding stubs.
When auditors obtain an understanding of internal control for the financing cycle documentation?Terms in this set (10) When the auditors obtain an understanding of internal control for the financing cycle, documentation will frequently include a written description as well as a(n): Summary of tests of controls.
Which of the following questions would auditor likely include on an internal control questionnaire for notes payable?Correct Answer:DSection: Auditing and Attestation (II) (Volume D)ExplanationExplanation/Reference:Explanation:Choice "d" is correct. An internal control questionnaire for notes payable would likely ask if directborrowings on notes payable are authorized by the board of directors.
|
An auditor should trace corporate stock issuance and treasury stock transactions to the
zusammenhängende Posts
Urheberrechte © © 2024 de.apacode Inc.
