October 3, 2022 Re: Regulatory Notice 22-17, Request for Comment on a Proposal to Shorten the Trade Reporting Timeframe for Transactions in Certain TRACE-Eligible Securities From 15 Minutes to One Minute Dear FINRA, In response to the proposed amendment to FINRA Rule 6730, we are respectfully providing comments as to why the amendment, which would change the reporting time from 15 minutes to one
observation of the Thanksgiving holiday, the ORF System will be closed on Thursday, November 26, 2020. Please be advised that the ORF system will close early on Friday, November 27, 2020 at 1 p.m., E.T. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
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Corporate Finance
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Legal & Compliance
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As of April 24, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
PRVC.GA
President Riverboat Casinos Inc
13.000
09/15/01
TCFD.GB
Trump's Castle Funding Inc
The Variable Annuities topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of May 22, 1997, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
HSRS.GB
HS Resources Inc
9.250
11/15/06
HYPT.GA
Hyperion Telecomm Inc
13.000
4/15/03
The eFOCUS system provides firms with the capability to electronically submit their Financial and Operational Combined Uniform Single (FOCUS) Reports to FINRA. FINRA member firms are required to compose and submit FOCUS reports to FINRA pursuant to SEC Rule 17a-5.
(a) Definitions
For purposes of this Rule, the following terms shall be defined as provided.
(1) "Emerging Growth Company" has the same meaning as in Section 3(a)(80) of the Exchange Act.
(2) "Equity security" has the same meaning as defined in Section 3(a)(11) of the Exchange Act.
(3) "Independent third-party research report" means a third-party research report
Aloha. Mahalo for doing the best to your abilities to protect American citizens without infringement on their freedoms and financial success. We are at an inflection point moving from the old financial system into a new financial system. The decisions you and your peers agree upon has potential impact on 100s of millions of lives. Let's make sure your team and the American population is
I have used this product both as an advisor and now as a retired advisor, but now as a regular investor.
The availability of easy products like the inverse ETF is simple to use and should not be as restrictive as it currently is.
I find it odd, that now that the bull market is struggling, here comes the big brother regulators taking away the protection investors need.
You should NOT make this
