• On April 16th, the Financial Industry Regulatory Authority announced that the SEC has approved amendments to FINRA Rule 6730(d)(2) to require firms to report to TRACE the factor for each transaction in an asset-backed security (except an ABS traded To Be Announced), in the limited instances when firms effect such transactions as agent and charge a commission. The effective date is July 22, 2013. FINRA Regulatory Notice 13-15.