Regulatory Notice 22-12

Summary

FINRA has adopted amendments to Rule 6730 (Transaction Reporting) to require members to append a modifier to a corporate bond trade that is part of a portfolio trade when reporting to FINRA’s Trade Reporting and Compliance Engine (TRACE). The amendments to Rule 6730 will take effect on May 15, 2023.

The amended text of the rule is set forth in Attachment A.

Questions regarding this Notice should be directed to:

Timothy Ciraolo Comment On Regulatory Notice 22-08

I oppose restrictions on my right to invest in public investments, including leveraged and inverse ETFs. I also use them to hedge my positions and if you stop our use of inverse ETFs, then you are hurting me, not helping me. I should be able to choose any investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged.

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