FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
Trading Pause Rule Expanded to All NMS Stocks
When I buy and hold a stock, like AMC, the obvious hope and intent for me is that the price will go up and I will make a profit. So it doesn’t make sense to me that an entity that holds my shares for me, like Robinhood for example, can lend my shares to someone else then the borrower uses my shares to short and drive down the price. They benefit by achieving their goal of lowering the price, the
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I am a new retail investor but I have found quickly a strong sentiment of unfair trading practices and market manipulation by hedge funds that leaves retail traders at significant disadvantages. I appreciate the efforts on behalf of FINRA and the SEC to eliminate these events of malpractice by enforcing the rules that are currently in place, as well as, providing the public with more accurate and
I would like to submit a public comment on possible restrictions on my right to invest in public investments. Especially leveraged and inverse funds.
By way of introduction, I am 60 years old, and make most all of the financial decisions in my household. I am an active investor in stocks, funds, bonds, emerging markets, and crypto. Basically, I trade in multiple and varied securities, and run
On November 15, 2021, the FINRA equity trade reporting facilities (the Alternative Display Facility, the FINRA/Nasdaq Trade Reporting Facilities and the FINRA/NYSE Trade Reporting Facility, through which member firms report OTC transactions in NMS stocks to FINRA1) will begin supporting timestamps up to nanosecond (HH:MM:SS.sssssssss) granularity in accordance with amendments to FINRA’s equity
Dear FINRA,
The(Your) tentative unnecessary regulatory interference, deemed potential unwarranted regulatory adjustments, by the majority of investors in U.S. financial Markets', and the/their use of 'free-trading' instruments in the purchase and sale of, ie., Currencies, Commodities, Bonds, Notes, Stocks, ETF's, etc., such as and in particular, those '
I don't feel the government should be putting restrictions on my right to invest in common public investments. I understand that all investments have some inherit risk and the leveraged funds can be much more risky. I should not have to take a test or prove my net worth in order to be able to take part in these public funds. All of these funds release a prospectus that help investors
I am a novice retail investor and learning more each day. Here are a few remarks: 1. If naked or synthetic short is illegal, why allow it to happen? A company that issued 30 million shares should not be trading 100 million shares. 2. Rule breakers should pay fine to security agencies (SEC, FINRA, NTCC, etc.), compensate clients, and be restricted from trading certain stocks for a period of time.
