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Tag Archives: FINRA

TRACE the numbers

Wednesday, April 22, 2009

The TRACE Update is a quarterly email that covers TRACE-related developments. In this issue: New: Quarterly TRACE Fact Book Tables Proposed TRACE Expansion — Agency Debt and Primary Transactions Fixed Income Webinar on July 15 For additional information, contact us by phone at (888) 507-3665 or by email at TRACEDataServices@finra.org. New: Quarterly TRACE Fact Book [...]

Filed in Creativity, Launching..., Liquidity, Open engines, Pricing, Regulatory, Trading, Transparency | Also tagged , , | Comments (0)

Two traces

Tuesday, March 10, 2009

FINRA has announced a proposed expansion of the Transaction Reporting and Compliance Engine (TRACE) to incorporate the collection and redistribution of more fixed income pricing. I laud FINRA for this effort but it overlooks a critical piece of price reporting for retail investors… this is the collection and dissemination of prices for trades of US [...]

Filed in Liquidity, Open engines, Pricing, Regulatory, Restructuring, Trading, Transparency | Also tagged , , | Comments (0)

FINRA fixed income

Tuesday, December 30, 2008

FINRA Fixed Income Conference March 5, 2009 New York, NY FINRA’s annual Fixed Income Conference focuses on current market impacts on fixed income and how regulators and firms are responding to them. Sessions cover recent transparency initiatives, other regulatory initiatives, compliance practices in today’s market environment, considerations for operational and risk management, and recent examination findings. [...]

Filed in Regulatory, Trading, Transparency | Also tagged , | Comments (0)