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
SEC Approves Rule Change to Require Reporting of Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine (TRACE)
Effective March 15, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical, non-substantive changes to certain NASD rules previously approved by the Commission in SR-NASD-2006-055 that were amended by SR-NASD-2005-087, which became effective August 1, 2006.
Overview – FINRA’s Funding Portal Rules (FP Rules) apply to firms that register with the U.S. Securities and Exchange Commission (SEC) as funding portals pursuant to the SEC’s Regulation Crowdfunding (Reg CF) and that become FINRA FP members. Prospective FPs should review, in addition to the rules under the SEC’s Reg CF, Regulatory Notice 16-06 (SEC Approval of FINRA Funding Portal Rules
I oppose restriction to my right to invest. I oppose SEC proposed rule #S7-24-15
INFORMATIONAL
Anti-Money Laundering
Effective Date: Transactions After December 30, 2002
Draft Form SAR-SF; Comments Requested by: October 4, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Money Laundering
Suspicious Activity Reporting
Executive Summary
On October 26, 2001, President Bush signed into law
This rule only benefit the rich. The rich can get richer and regular people is stuck.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Section 4 of Schedule A to the NASD By-Laws ("Schedule A") to increase examination fees that shall be assessed on persons taking certain qualification examinations as of January 1, 2006.
We need more choices not less. I will ask my elected representatives to block this rule.
