TRACE – Global Relay Intelligence & Practice

TRACE

Resources

Guidance Note 1 – FINRA Rule 6730

January 23, 2026

Late reporting to TRACE.

GRIP<1 min read
Enforcement

FINRA disciplinary action update 2025/44

December 5, 2025

Disciplinary decisions issued November 22 – 28, 2025.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update 2025/21

June 12, 2025

Disciplinary decisions issued May 31 – June 6, 2025.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update 2025/11

March 26, 2025

Disciplinary decisions issued March 15 – 21, 2025.

Thomas Hyrkiel3 min read
Enforcement

FINRA disciplinary action update 2025/8

March 4, 2025

Disciplinary decisions issued February 22 – 28, 2025.

Thomas Hyrkiel1 min read
FINRA

Fixed income TRACE reporting timeframe reductions delayed

February 7, 2025

Industry concerns, including potential unintended consequences for the markets, cited as reason for not setting an effective date for the changes.

Thomas Hyrkiel, Julie DiMauro2 min read
Enforcement

FINRA disciplinary action update 2025/1

January 14, 2025

Disciplinary decisions issued January 1 – 10, 2025.

Thomas Hyrkiel4 min read
Enforcement

FINRA disciplinary action update 2024/49

December 31, 2024

Disciplinary decisions issued December 14 – 20, 2024.

Thomas Hyrkiel5 min read