FINRA: Regulatory Notices· Regulatory Notice 26-16·· 2026-08-26AI Score38
FINRA Expands Scope of TRACE Non-Member Affiliate-Proprietary Trading Indicator
Regulatory Notice 26-16
AI summary
FINRA has issued Regulatory Notice 26-16, amending TRACE rules to extend the proprietary trading indicator, previously applicable only to non-member affiliate transactions, to member affiliate transactions. The voluntary compliance period for this amendment begins August 31, 2026, with a mandatory effective date of August 2, 2027. The rule text is available in the FINRA Online Manual.
Source:FINRA: Regulatory Notices · finra.org