Art. 37

(Art. 39 FinMIA)

1. The participants admitted to a trading venue shall report all transactions they execute involving securities admitted to trading on a trading venue. In particular, the following must be reported:
   1. the name and number of purchased or sold securities;
   2. the volume, date and time of the transaction;
   3. the price; and
   4. the details necessary to identify the beneficial owner.
2. The reporting duty also applies to transactions in derivatives whose underlying instruments are securities admitted to trading on a trading venue.
3. The reporting duty applies not only to transactions on own account, but also to transactions executed on behalf of a client.
4. The following transactions executed abroad do not have to be reported: a. transactions in securities admitted to trading on a trading venue in Switzerland and in derivatives with such securities as their underlying instruments, provided the information in question is regularly communicated to the trading venue on the basis of an agreement in accordance with Article 32 paragraph 3 FinMIA or within the framework of an exchange of information between FINMA and the competent foreign supervisory authority if: 1. they were executed by the branch of a Swiss securities firm¹or by a foreign admitted participant, and 2. the branch or the foreign participant is authorised to trade by the relevant foreign supervisory authority and is obliged to submit a report in the corresponding state or in its state of domicile; b. transactions in foreign securities admitted to trading on a trading venue in Switzerland and in derivatives with such securities as their underlying instruments that are executed on a recognised foreign trading venue.
5. Third parties may be involved in reporting.