Accurate short sale tracking is obviously important, but it’s only as useful as the information given on dark pool activities. Dark pool existence, and how those exchanges are able to integrate shares into major exchanges is beyond fraudulent. I appreciate your efforts, but share selling will never be put into check until dark pools are eliminated.
We want T-0 settlement. We want transparency. We want jail time and not fines for breaking rules. We want a fair stock market.
FINRA Rule 5131 (New Issue Allocations and Distributions) addresses potential misconduct in the allocation and distribution of new issues.
The Cyber and Analytics Unit (CAU) within FINRA’s National Cause and Financial Crimes Detection (NCFC) program would like to highlight an alert issued by the Cybersecurity & Infrastructure Security Agency (CISA) on April 20, 2022.
2003 - 2004 Filing Due Dates
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Annual Audits, and Customer Complaints by their due dates. The following schedule outlines due dates for 2004. Questions regarding the information to be filed can be directed to the appropriate District Office. Business questions as to how to file the FOCUS report, resetting
Investors looking for different ways to diversify their portfolio by providing access and exposure to illiquid strategies or alternative assets may look to interval funds, but these come with unique risks and characteristics and have a fee structure that may be higher than those charged by other types of funds.
With a paternalistic misguided view that you are protecting retail, you are in fact restricting risk management actions that can be taken by retail. And in the middle of a correction! Inverse ETFs are liquid and can be sized appropriately while selling covered calls cannot be. And institutions are allowed to trade options during hours retail is not, further impeding my risk management efforts.
Look to who it mat concern i am not liking this push to communism since when do we need approval of a stock / investment if it have pasted muster with SECC this [REDACTED] has to stop and stop now
The term "complex products" is a mask on an initiative aiming to limit the ability of lower net worth individuals to invest in the same high reward vehicles as their higher net worth counterparts. This regulation is another permutation of limiting access under the guise of limited understanding. Regarding those who actually have a limited understanding, why let them invest in
I have a modest net worth and am not an investment professional, but have spent 15 years investing in individual stocks, ETFs, and mutual funds. As I have gained experience, my investment thesis has become quite simple: You either believe stocks will go up in the long run, or you believe they will go down in the long run. If you believe the former, then the logical next step is to get as much
