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
Investment accounts are those that hold stocks, bonds, funds and other securities, as well as cash. A key difference between an investment account and a bank account is that the value of assets in an investment account fluctuates and can, in fact, decline.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend paragraph (c) of FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities) to clarify the application of specified FINRA rules to transactions in, and business activities relating to, exempted
FINRA Firm Grouping Conference is a one-day conference designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The conference includes thoughtful discussions around the future landscape of the financial services industry. In-person attendees have access to breakout
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 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) to make the current clearly erroneous pilot program permanent and limit the circumstances under which clearly erroneous review would be available.
My firm is a 2 principal firm where I do institutional fixed income and my husband does retail. no assistants. I currently report to Trace myself vs. the clearing firm as my public agency clients purchase GSEs that are underwritten throughout the day vs. 1 time like munis and corporates. Only FHLMC and FNMA have P1 reporting on the 1st day, both FHLB and FFCB are S1 reporting. The clearing firm
