Request for TRACE Reporting Exemption Under FINRA Rule 6732
It does not make any sense to create legislation to make investing more exclusive, especially if it rules out the very people you espouse to "protect". The last thing we the people want from FINRA is to make investing yet more of an exclusive club for the elites. It is honestly disgusting that you are pursuing legislation in this domain given the glaring issues which have come
Impact: All Firms
Update (June 22, 2023): The link to the Advisory issued by CISA on June 7, 2023 has been updated to reflect CISA’s current guidance.
Firms should review this information with any vendors who provide information technology services to the firm.
As a result of an increased threat of ransomware potentially impacting FINRA member firms, the Cyber and Analytics Unit (CAU) within
It has been a matter of great satisfaction over the years to see how the cost have decreased and the options have increased or individuals who personally invest. Much of this has arisen as a result of competition in the markets and individual investor interest.
It saddens me to learn that the FINRA is seriously considering regulations that would reverse this trend by limiting investors through
This data provides up to 10 years end of day trade activity for on-the-run nominal coupon treasury securities. View Data I agree with the Fixed Income Data User AgreementAbout the DataData Glossary Treasury Trade Activity Data GlossaryData SourcesFINRA members report information on transactions in U.S. Treasury Securities to the Trade Reporting And Compliance Engine (TRACE), the facility for
I am a fully informed investor & 20+ year Investment Advisor who should be able to invest in levered & inverse funds any time. Ive been given the Prospectus before each trade. I know how they work. Dont take away my right to own them. That would be a huge government overreach & not a good use of taxpayer dollars.
All investing options should be open to people willing to take the risk. It is amazing the overreach that our government would like to put on it's citizens. But if you are connected or in political power, you can amass a tremendous fortune off of the knowledge and inside information. Do something constructive, put us back on the gold standard and enact term limits on politicians.
Regulations that impede my investing strategies and choices (imposed by bureaucrats who enhance their wealth by the same strategies) are unethical. We live in a digital age where information and learning is rapid and exponential. To assume that most everyone except politicians and elite wealth classes are incapable of investing with leverage is pompous and sorely mistaken. Let free people
I have used leveraged and inverse funds to enhance the profitability of my portfolio and built an entire strategy surrounding their use successfully. The proposed regulations have the potential to harm my future investment goals. The current information provided surrounding these types of funds is more than sufficient for proper understanding of risks and my abilities to utilize these products
Public investments should be available to all of the public, not just the Privileged/Criminals. As the people (MIDDLE SCHOOL/POOR) we understand the conversation mush clearer than previous years. Bad enough our Birth Certificate Bonds (Year 1933 GOLD STANDARD) was stolen from our ancestors, with no education to achieve wealth. FINRA need to cut it out. WE UNDERSTAND INFORMATION
