When it became clear that FINRA was going to move to a fully remote work environment in early March, most of the focus was on how to continue conducting business in a fully digital environment. But several functions FINRA performs still require sending materials in the mail to firms and individuals. One example is the Regulatory Review group within Credentialing, Registration, Education and
Generally, brokers and dealers use subordinated loans and notes collateralized by securities (referred to as subordinations) to borrow funds or securities from investors to increase their regulatory net capital. Pursuant to FINRA Rule 4110(e)(1), subordinations must be approved by FINRA in order to receive beneficial regulatory capital treatment.
The FINRA Board of Governors will consider the following rulemaking items at its September 2013 meeting.
TRACE Volume Reports are produced on a monthly basis for TRACE participants to review TRACE activity for the past month by sub-product. FINRA will implement changes to these reports on Monday, July 26, 2021 that will include the addition of ATS, Interdealer and Customer categories and modify how volumes are computed. Specifically, volumes will be computed similarly to the Weekly
Thé government has no right to tell hard working Americans how they can invest their money. It did not work for it. These rules would block access for the average person to invest in companies that would bring them revenue. A risk is a risk. Everyday you walk across the street you take a risk. Its the for some anonymous government official to decide where and how people invest. This is outrageous
You should do more to educate people on our modern financial system instead of taking away their ability to invest how they see fit. It's not your concern how or why I invest my money. If Nancy Pelosi and other politicians can participate in stock market trades all while making laws that affect company stock price, then I should be able to decide how I want to invest my dollar.
Do you
This is an unacceptable overreach. The job if the SEC is to make sure investment products are honest, legitimate investment opportunities. It is not the job of the SEC to pick and choose the people who will have access. This is the USA. It's supposed to be synonymous with personal liberty. The whole certified investor system should be trashed. It's elitist is the worst possible
SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File
It should be every individual investors right to choose the public investments. Leveraged ETFs should not be an exception. And the leveraged ETFs provide a more intuitive method for the general public to hedge the total portfolio and enhance the total return. If regulator limits individual investors right to choose leveraged ETFs as the investment tools, this action feels like strongly in
This is America. People should be free to do what they want. We do not need more bureaucracy or oversight of individual investors. I like leveraged funds and make a bunch of money by investing in them. Do not be [REDACTED] and hurt small investors like me. It is not your job to protect people from themselves if they are playing with stuff they do not understand. If you want be people to
