I strongly oppose restrictions on my right, as a retail investor, to openly invest in ETFs which use derivatives for long or short public investments.
(a) Members are required to report transactions in NMS stocks, as defined in Rule 600(b) of SEC Regulation NMS, effected otherwise than on or through a national securities exchange to FINRA. For purposes of the Rule 6100 Series, "otherwise than on an exchange" means a trade effected by a FINRA member otherwise than on or through a national securities exchange. The determination of what
Anyone who follows the stock market knows that some days market indexes and stock prices move up, and other days they move down. This is called volatility. The more dramatic the swings, the higher the level of volatility—and potential risk.
As a retail shareholder and investor (equities and options) in multiple companies such as Tesla, Gamestop, AMC, along with the typical ETFs tracking the broader market I feel that we have not been well served by the current rules and system. The lack of transparency, limited reporting, and massive loopholes like synthetic short positions and loan obligations not being required to be reported in
Every member that is a party to a security-based swap with a customer, broker or dealer, or other Counterparty, or who has guaranteed or otherwise become responsible for any other person’s SBS obligations, shall comply with the following requirements, except that a member that is registered as a security-based swap dealer under Exchange Act section 15F shall instead comply with SEA Rule 18a-3.
I am seeking further transparency for short interest position reporting. SEC is doing nothing to end the corruption.
To whom it may concern,
FINRA has proposed a raft of potential restrictions on so-called "complex" investment products, among them leveraged and inverse funds. Whereas some of the proposed restrictions are at least somewhat reasonable, like passing some sort of rudimentary test to ensure the investor is aware of what the product is, others are downright outrageous, such as not
I should be able to choose which investments (whether leveraged/inverse or not) to invest in. I fully understand the risks/rewards of leveraged/inverse ETFs. They provide a specific investment strategy within my diversified portfolio. Restricting or eliminating these types of investments would be the same as prohibiting or restricting investors from investing in publicly traded small-cap stocks (
I reserve the right to make decisions about my money, no matter how ill-advised. If citizen err by not doing research, so be it. While it's clear that many go broke (or worse) by making bad decisions about their money, this has always been true. The stock market has become a casino, and until the government abolishes lotteries, casinos in every state and sports betting, then I don&#
Naked shorting is illegal. HAH. If only these rules were enforced. If only infinite loopholes didn't exist.
