I'm writing to request more transparency, fairness and accountability in our financial markets, as all of us rely on our regulatory entities for that assurance. There are some things that are of particular interest to me: 1. Transparency of Buy/Sell orders in the market as a whole, including but not limited to OTC/ATS off market trading. 2. Information market makers have when it comes to
Hello, I heard that there's going to be a regulation on leveraged and inverse funds. I know that the market hasn't been good lately and I assume it negatively impacted many individuals, but I believe that's similar to the regular stock market. I admit that there are dangeroud funds (TQQQ or SQQQ) but many funds are a good way for people to distribute the stock evenly and many times
I've been using leveraged ETFs as well as ETNs for years. Why should I suddenly be subject to restrictions on products that I understand the risks for. Investing in these products isn't actually inherently riskier than simply investing in an individual stock, even a popular and widely-owned one (and indeed often is LESS risky, depending on the specifics of the stock).
Should
Regulatory ObligationsRules 203(b) (Short sales) and 204 (Close-out requirement) of Regulation SHO provide exceptions for bona fide market making activity. The SEC has provided guidance on what constitutes “bona fide market making activities” as well as examples of what does not. Firms must also confirm and be able to demonstrate that any transaction for which they rely on a Regulation SHO bona
ENFORCE YOUR RULES. These rules don't mean anything if they're not enforced. And I'm not talking about giving Robinhood a 70m lawsuit, that's just the cost of doing business. The penalties need to be crippling to ensure that the rules are followed. Reduce the reporting period to daily. We live in the digital age, there is absolutely NO reason that this information isn't
I would like to see the following metric: total # of all short positions open by any company / # shares issued by company. This includes activity in dark pools. This must be reported hourly. This is the only way to ensure naked shorting is not occuring.
Transparency in the market, I request more frequent public reporting of short positions and more detail in public reports. Frequent monitoring of naked shorting especially from Citadel who is a Market Maker and Hedge fund which is a conflict of interest.
t+14 is unacceptable for FTD's it needs to be reduced to t+2 along with daily short reporting. along with shares being trackable and prime brokerages not being allowed to give out short bets x10 the shares they have in their possession.
We are adults, not children, and have the right to invest as we see fit. Owning individual stocks is way more risky than a leveraged etf tracking an index. When a stock such as Netflix can lose 75% of its value, do you propose banning individual stocks? Let people choose!
SummaryThe purpose of this Election Notice is to notify FINRA mid-size firms of a contested election for a mid-size firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots. The two open large firm NAC member seats are not contested; therefore, no election will be held for the large firm seats.Voting concludes in the NAC mid-size firm seat election on December 15, 2023
