Series 57 podcast · Episode 15
Reporting Trades to the Designated Reporting Facility
57 min of listening
Books and Records, Trade Reporting and Settlement. Free audio, ready to play in your browser.
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Follow along with
the written unit.
Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:
- The Reporting Obligation and Which Facility Takes the Trade
- Distinctions Among the Reporting Facilities
- Multiple MPIDs for Reporting Facility Participants
- Which Party Reports, and What the Report Contains
- Timing of Trade Reports
- Trade Report Modifiers
- Tape, Non-Tape and Clearing-Only Reports, and Trades That Are Not Reported
- Trade Report Input, Acceptance and Processing
- Obligation to Honor Trades and Audit Trail Requirements
- Trade Reporting Exemptions for Alternative Trading Systems
- Violation of the Reporting Rules
Put this episode into practice with adaptive questions and flashcards in the full Series 57 course.