Fund Operations

Portfolio Security Operations

This page includes ICI memos, comment letters, white papers, and other resources related to regulatory and industry initiatives affecting portfolio securities operations, derivatives, and trading and markets.


Trading and Markets (Domestic)

December 28, 2022
Memo #34737

FINRA Adopts and Proposes Amendments to TRACE Reporting

Over the last month, FINRA has proposed or adopted three separate reporting requirement changes to the Trade Reporting and Compliance Engine (TRACE). On December 13, 2022, FINRA adopted amendments to require the reporting of transactions in US dollar...