Thursday, December 14, 2017
4:15 p.m. – 5:00 p.m. ET
FINRA is hosting a phone-in workshop and WebEx presentation to introduce the Cross Market Equities Supervision: Potential ATS Cross Manipulation and Cross Market Equities Supervision: Potential Auto Execution Manipulation Report Cards. These two new Report Cards are anticipated to become available on the FINRA Report Center in early January.
please don’t close or restrict leveraged ETFs. Those are for many years and people made money. If you saw a risk on those you should take action when market was hot during November 2021. Retail investors like me lost money on stock market. If you close or restrict trading thess probably I will not get back my money. I think this is a regulatory scam. Request your kind consideration to have those
This is a free country, free to invest how ever we see fit. To have a special process is against the constitution. Just because the US market is about to face the largest collapse of its existence, doesn't mean you should be allowed to stop others from investing because you are going to lose your pants. You can't offer stocks when it benefits you, then take them away when it doesn'
Dear Sirs/Madame, I sincerely regret hearing that you are considering regulating my purchase of public investments! I should be able to invest in what I choose, not have regulators choose for me in a capitalistic country! I frequently invest in leveraged ETFS to moderate stock market volitility and put options for protection as well! I have been using these instruments for many years and
Big government regulations are not needed in controlling investment interest. I should not have to have a degree in investments to be able to choose how I invest. My interest in over the counter investments and pink sheet investments has already been blocked and limits my exit severely due to low volume of stock movement. This move to control trading opportunities, is not in the interest of
This should not be decided by regulators. This should be a freedom decided by the investor whose money is at risk. Should penny stocks, crypto and other equally risky assets be banned as well? Should investors not have the right to buy or sell assets during certain market conditions that regulars deem unsafe for the investor? No, these are decisions for those with assets who have decided to take
Just like I can take a risk on a stock going up, I should likewise be able to take a risk on it going down. Seems like you want to be able to control the market up by flooding us with artificial stimulus ( I consider this endless counterfeiting of our currency) and artificially low interest rates by further increasing our national debt to ridiculous levels but you don't want to suffer the
I am a disabled individual who has managed to support myself and my daughter for the last 5 years by trading stocks. During that time my net worth has never exceeded $150,000. THIS WOULD NOT HAVE BEEN POSSIBLE WITHOUT TRADING LEVERAGED ETFs ! My brokerage (Fidelity) Required that I read and acknowledge a very stringent warning about the risks before allowing me to trade these securities, and
Mr. Chairman and Members of the Committee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 1032(f) to change the date by which certain registered representatives who trade equity securities in the Nasdaq Stock Market and/or over-the-counter must pass the Series 55 Examination.
