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For Industry Professionals
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For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
It is unfortunate when others think they should have the right to impose restrictions on people. I am a licensed advisor and believe the regulators should concentrate on more crucial areas and fraud instead of regulating the common investor.
I do not need the government choosing my investments for me.
This is a serious infringement upon my rights.
I see this as a significant over reach by the government.
This regulation is unnecessary and unwarranted.
IF I decide to dump all my USA Dollars over the side of a cliff
(actually IF I decide to make "poor investments") what right do you have to tell me its "against the Law.!!"
Signed Barney Baroot...
I oppose restrictions to my right to invest. We are capable of making our own investment decisions and have plenty of information to do so. If I chose to use leverage or inverse funds then I am better off for having access to these types of investments. Do not take this right away. Thank you.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6730 to: (i) require members to report electronically executed transactions in U.S. Treasury Securities to FINRA’s Trade Reporting and Compliance Engine (“TRACE”) in the finest increment captured by the system used to execute the transaction, subject to an exception for members with limited trading volume in U.S. Treasury Securities; and (ii) reduce the trade reporting timeframe for transactions in U.S.
Retail investors should have the same rights and abilities to create and maintain wealth as accredited investors. Retail investors should not have any additional burdens placed upon them to have access to products like leveraged or inverse funds.
Please no.
