Beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28 FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
FINRA has updated the TRACE Web API Specifications for Corporate and Agency Debt and the TRACE OTC Corporate Bonds and Agency Debt User Guide to align with these changes. As noted in the Regulatory
How is owning a security a bigger threat than owning a firearm? Currently I dont have to take any tests or demonstrate any knowledge to own a firearm or ammunition, and any risks involved with gun ownership the government considers acceptable. So how exactly does these new rules protect me? I dont see how the government can tell me Im competent enough to own a firearm and ammunition but not a
I use leveraged and inverse funds as a protection hedge and to enhance returns. I am fully capable of understanding leverage and inverse funds as well as risks. I don't need a special test before investing in these funds safely. I should be able to choose the public investments that are right for me and my family, not regulators. Public investments should be available to all of the
Form U5
Once your employment ends, your firm must, within 30 days of your employment termination, file a Uniform Termination Notice for Securities Industry Registration,
form-u5.pdf
, with FINRA via CRD and provide you with a copy of that filing. The Form U5 indicates the date you terminated employment with the firm and the reason for your
Dear FINRA,
I oppose restrictions on my rights to invest in public investments. As an investor I should have variety in choices of investments and not be limited by regulators or have to pass a test to be able to invest in a security. I understand leveraged and inverse funds and have been trading them since last year. Again, the leveraged and inverse funds help diversify my portfolio. Please
The existing investment instruction and terms are sufficient. People at legel age are able to consider rationally and independently if they can bear the risks. It is unreasonable to ask people do tests especially there are a large group of people already has experience of investing leveraged and inverse ETF products, not to mention how unfair it is to restrain investment activities by how much
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Investors should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds
Myself certainly not regulators should be able to choose the public investments that are right for me and my family. These investments should be available to all of the public, not just the privileged. I do not need to "pass a test" to know that these are valid investments and entail risk, like ALL securities. I ask that you not limit my availability to these choices in order
Leveraged funds are important to my investment strategies. It's been very essential part of my IRA account. Even this kind of investment only make a portion of my entire portfolio, I do like to keep this option available. I oppose to have to go through any special process like passing a test before make such an investment. Please, let us, investors, choose the investment product on the
I would oppose FINRA regulatory notice #22-08. Regulators should not be able to choose which public investments that me or my family can make.
I should not have to pass a test to invest in public securities.
Brokers should not be required to screen me before I can invest in public securities.
Leveraged and inverse funds allow me to better hedge my portfolio.
FINRA Regulatory Notice #22-08 should
