Protection of financial and personal customer information is a key responsibility and obligation of FINRA member firms. Under the SEC’s Regulation S-P, firms are required to have policies and procedures addressing the protection of customer information and records. This includes protecting against any anticipated threats or hazards to the security or integrity of customer records and information
FINRA does not regulate mutual funds directly, but regulates the broker-dealers and registered representatives that sell mutual funds. In this capacity, FINRA enforces rules on mutual fund advertising, sales practices, including the sales loads that broker-dealers may charge, the incentives provided to registered representatives and the execution of mutual fund portfolio transactions.
To whom it may concern at FINRA, I am not a very eloquent person, so please note that I have taken bits and pieces of comments and copy/pasted them. Just because I have not articulated these thoughts myself, does not mean that I am any less passionate about the proposed rule changes. Since beginning my journey as a retail investor and learning more about our financial systems I have lost complete
December
Total Trades
Total Par Value (000s)
Average
Daily Trades
Average Daily
Par Value (000s)
CORP
1,256,831
559,829,535
59,849
26,658,549
CONV
26,011
22,214,350
1,239
1,057,826
CHRC
1,337
25,015
64
1,191
ELN
15,226
1,893,991
725
90,190
AGCY
40,445
85,
December
Total Trades
Total Par Value (000s)
Average
Daily Trades
Average Daily
Par Value (000s)
CORP
1,236,998
496,264,596
65,105
26,119,189
CONV
20,672
18,967,101
1,088
998,268
CHRC
1,280
10,023
67
528
ELN
24,283
2,121,303
1,278
111,648
AGCY
39,819
69,
TRACE Monthly Volume Report for 2017
TRACE Monthly Volume Report for 2014
TRACE Monthly Volume Report for 2013
TRACE Monthly Volume Report for 2016
TRACE Monthly Volume Report for 2015
