Thank you for taking the time to address these issues. As a retail investor I believe short interest in all of its forms including Call/Put options should be publicly available. Much information is hidden from retail and this needs to change. I hope there is serious consideration for how offenders WILL try to overcome the spirit of these regulations. "Enhanced lending" "short
Please do not block us from trading any stock I want, I feel that I should have my own right & freedom to chose where I want to invest and I dont like being restricted. So please do not add any restrictions to buy any stock.
Use of Inverse and Leveraged ETFs are great for investors to use when the markets are not functioning properly, perfect for late 2021 and now 2022. ETFs are common, simple, even teenagers understand how to use them.
Planning for retirement in a bear market is difficult in the best of times. When we hit a bear market, or a crashing market at the age of 60+, with inflation over 8%, certainly we
To Whom It May Concern:
Your recent notice, FINRA Regulatory Notice #22-08, seems very problematic for everyday investors. Leveraged and/or Inverse funds serve very important functions for retail public investors. Most of the time, they provide the only way for a retail investor to cost effectively hedge a position or a certain exposure. For example, earlier this year my wife and I were waiting
FINRA is a self-regulatory organization for member broker-dealers that is responsible under federal law for supervising our member firms. Transparency is critical to our work and ensuring trust and confidence in the markets. The statistics below represent just some of the work we do to carry out our mission. The data present just part of the overall picture. The number of formal
(a) The Director will serve the Claim Notification Letter on an associated person directly at the person's residential address or usual place of abode. If service cannot be completed at the person's residential address or usual place of abode, the Director will serve the Claim Notification Letter on the associated person at the person's business address.
(b) If a member and a
(a) If an arbitrator is removed, or becomes otherwise unable or unwilling to serve, the Director will appoint a replacement arbitrator in accordance with this rule, unless the parties agree in writing to proceed with only the remaining arbitrators.
(b) The Director will appoint as a replacement arbitrator the arbitrator who is the most highly ranked available arbitrator of the required
(a) The Director will serve the Claim Notification Letter on an associated person directly at the person's residential address or usual place of abode. If service cannot be completed at the person's residential address or usual place of abode, the Director will serve the Claim Notification Letter on the associated person at the person's business address.
(b) If a member and a
My experience investing has been limited to my own money from my retirement savings and having NO FORMAL education in investing. (I am 73 yrs old and my occupation was that of an Audiologist.) When the Federal Reserve over-extends credit causing inflation, I have to make up for my losses due to that inflation. One avenue is to short treasury notes via TBT and that vehicle has been a very
This has all the hallmarks of market manipulation similar to what was seen during the Bush Administration in 2008. This type of manipulation wouldn't be necessary but for the incredibly loose monetary policy and failure to properly regulate IPOs, and especially SPACs, that seemed designed to take money from retail investors and give it to insiders. You can't possibly be worried about
