The naked shorting and dark pool abuse that is going on has to stop if you want to call yourself any kind of regulatory agency. It is unthinkable that you allow retail investors to be stolen from by market makers, when it is your job to protect the sanctity of the system itself. Loss of confidence of an ENTIRE GENERATION of investors will likely cripple the US economic system and it will be due
The Senior Investors and Trusted Contact Persons topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
GUIDANCE
SUGGESTED ROUTINGKEY TOPICS
Internal AuditLegal & ComplianceOperationsSenior ManagementSystemsTrading
IM-2110-2Limit OrdersLimit Order ProtectionManning RuleRule 6541
Trading Ahead of Customer Limit Orders
Executive Summary
On February 26, 2007, the Securities and Exchange Commission (SEC) approved amendments to Interpretive Material (IM) 2110-2, Trading Ahead of Customer
As a college student who works for near minimum wage, saving for my future, no matter how frugal, amounts to very little. Since investing, leveraged stocks have given my capital a turnover that puts my financial goals on track, given due diligence. Banning leveraged stocks would be another financial avenue closed to the working class, who simply want to save for their own home.
Inverse leveraged ETFS have helped me to hedge my long term stock investments. I have been warned to not hold them for long, and I can use a trailing stop to avoid big losses. Because of these products I dont panic in a sell off, and I can continue to hold my stocks and collect my dividends. Please dont take these tools away because of some reckless traders.
selling short is a very important part of a free market
I am writing to request that leveraged and inverse finds remain open to average investors. These products do have their own risks and my broker places several warnings before I can make a trade in an inverse or leveraged product. These are meant for short term and day trading only and there are many warnings that they are not intended for long term and you can lose everything if you do. I think
I oppose limits on investing in leveraged instruments. I do so on both the long and short side, and also use options. I understand the risks and limits. If you impair these instruments you will be impairing my ability to generate extra income while hedging long exposure to my portfolio and economic risks (e.g., selling cash covered puts on short ETFs). Please stop impairing open investing, and
The Trusted Contact Persons topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Short interest should not be self reported. Needs to be transparent and reported daily. FTD's should cause HEAVY fines. I mean, HEAVY. Maybe 50% of annual profit of a company. Naked shorts need to be investigated, openly disclosed to the public and result in heavy monetary penalties, as well as temporary ban from trading a particular security (maybe 30 or 90 days ban). High frequency trading
