The Financial Industry Regulatory Authority (FINRA) maintains the Trade Reporting and Compliance Engine
(TRACE) vehicle to facilitate the mandatory reporting of bond sales in the United States. This includes
all bonds interfacing with transactions in the over-the-counter secondary market in eligible fixed
income securities. All broker/dealers who are FINRA member firms are required to report transactions
involving corporate bonds to the TRACE
system under an SEC approved set of rules.
We offer a free initial consultation to investors who feel they may have been victimized by
fraudulent purchase and sales transactions involving bonds. For a free initial consultation contact the Law
Offices of Timothy J. O’Connor at (518) 426-7700.
Have a Question?
- SEC Issues Required Investor Disclosures for Variable Annuities and Variable Life Insurance Contracts
- Airbnb Guest Injuries
- Morgan Stanley Smith Barney Agrees to $5,000,000 Settlement Fund to Benefit Harmed Investors
- Will Contests – Have You Been Shorted by Trickery Involving a Loved One’s Estate?
- Class Action Lead Plaintiff is Successful in Thwarting Effort of Massachusetts Mutual Seeking to Dismiss Claims