United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2016_register executive 2016-10-21 article Notices D09002ee1c7f3485f D09002ee1c7f348d0 United States Securities and Exchange Commission originator org United States Government Agency or Subagency 81 FR 73167 https://www.govinfo.gov/app/details/FR-2016-10-24/2016-25604 2016-25604 fr24oc16-100 8011-01-P Release No. 34-79116 File No. SR-FINRA-2016-027 https://www.govinfo.gov/app/details/FR-2016-10-24/2016-25604 https://www.govinfo.gov/content/pkg/FR-2016-10-24/html/2016-25604.htm https://www.govinfo.gov/content/pkg/FR-2016-10-24/pdf/2016-25604.pdf 11 p. 73167 73177 81 FR 73167 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Reporting of Transactions in U.S. Treasury Securities to TRACE; Federal Register Vol. 81, Issue NOTICE 2016-25604 SECURITIES AND EXCHANGE COMMISSION Release No. 34-79116 File No. SR-FINRA-2016-027 8011-01-P 2016-25604 (1) The CUSIP number or, if a CUSIP number is not available at the Time of Execution, a similar numeric identifier or a FINRA symbol; (2) the size (volume) of the transaction, as required by Rule 6730(d)(2); (3) the price of the transaction (or the elements necessary to calculate price, which are contract amount and accrued interest) as required by Rule 6730(d)(1); (4) a symbol indicating whether the transaction is a buy or a sell; (5) the date of Trade Execution (for "as/of" trades only); (6) the contra- party's identifier (MPID, customer, or a non-member affiliate, as applicable); (7) capacity--Principal or Agent (with riskless principal reported as principal); (8) the time of execution; (9) reporting side executing broker as "give-up" (if any); (10) contra side Introducing Broker in case of "give-up" trade; (11) the commission (total dollar amount); (12) the date of settlement; (13) if the member is reporting a transaction that occurred on an ATS pursuant to FINRA Rule 6732, the ATS's separate MPID obtained in compliance with FINRA Rule 6720(c); and (14) such trade modifiers as required by either the TRACE rules or the TRACE users' guide. Self-Regulatory Organizations; Proposed Rule Changes: Financial Industry Regulatory Authority, Inc. , rule-comments@sec.gov http://www.finra.org/industry/faq-reporting-corporate-and-agencies-debt-frequently-asked-questions-faq http://www.finra.org/industry/interpretive-letters/july-11-2003-1200am http://www.finra.org/industry/trade-reporting-faq#100 http://www.sec.gov/news/pressrelease/2016-155.html http://www.sec.gov/rules/sro.shtml https://www.regulations.gov/document?D=TREAS-DO-2015-0013-0001 https://www.sec.gov/comments/sr-finra-2016-027/finra2016027-14.pdf https://www.sec.gov/news/pressrelease/2016-155.html https://www.sec.gov/news/pressrelease/2016-90.html https://www.sec.gov/reportspubs/special-studies/treasury-market-volatility-10-14-2014-joint-report.pdf https://www.treasury.gov/press-center/press-releases/Pages/jl0457.aspx Vol. 81, no. 205 Office of the Federal Register, National Archives and Records Administration 2016-10-24 continuing daily deposited born digital 328 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2016-10-24 P0b002ee191d26d5a 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr24oc16 https://www.govinfo.gov/app/details/FR-2016-10-24 https://www.govinfo.gov/content/pkg/FR-2016-10-24/pdf/FR-2016-10-24.pdf https://www.govinfo.gov/content/pkg/FR-2016-10-24/xml/FR-2016-10-24.xml fdlp 73015 73332 DGPO 2016-10-21 2024-06-01 FR-2016-10-24 machine generated eng FR FR-2016-10-24 81 205