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This Friday – July 1, 2022 – will mark the 20th anniversary of FINRA’s Trade Reporting and Compliance Engine, known as TRACE to everyone in the fixed income industry and regulatory community. TRACE is FINRA’s real-time, over-the-counter price dissemination service for the fixed-income market, bringing transparency to the debt markets, including corporate and agency debt as well as asset- and
FINRA is highlighting a recent joint Cybersecurity and Infrastructure Security Agency (CISA) and Federal Bureau of Investigation (FBI) Cybersecurity Advisory published on August 30, 2023, which may be updated as new intelligence is uncovered.
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) issued an Investor Alert today warning investors about the risks of speculating on natural disasters with event-linked securities, such as catastrophe bonds or "cat bonds." Cat bonds offer high yields but can quickly lose most or all of their value if a triggering event, such as a hurricane, earthquake or pandemic, occurs in specified geographical regions.
Washington, DC - The Financial Industry Regulatory Authority (FINRA) issued guidance to firms outlining best practices for detecting and preventing unauthorized proprietary trading, often called "rogue" trading. The Notice comes in the wake of several recent cases involving allegations of unauthorized trading that resulted in substantial losses by firms both in the United States and abroad.
Let the buyer beware. It is the buyer's responsibility to inform themselves or seek help. This "permission" in a breach of personal freedom. This ain't the country club....
FINRA announced today that it has fined BofA Securities, Inc. $24 million for engaging in more than 700 instances of spoofing through two former traders in U.S. Treasury secondary markets and related supervisory failures spanning more than six years.
FINRA has made minor cosmetic changes to the MFA process
I oppose restrictions to my right to invest. As long as the fund clearly inform the investors how it works, the risk is up to the investors, not to the regulators.
Please do not limit our abilities to make choices. We are more informed about our needs and investments than government is.
Treasury Aggregate Statistics to Provide More Transparency in Marketplace
WASHINGTON — FINRA today for the first time posted weekly, aggregate data on the trading volume of Treasury securities reported to TRACE®, FINRA’s Trade Reporting and Compliance Engine®.
The new Treasury Aggregate Statistics report provides trading volume in U.S. Treasury securities reported to TRACE for the prior week.