SEC Rule 606(a) requires broker-dealers that route equity and option orders on behalf of customers to prepare quarterly reports that disclose specific information about their order routing practices for non-directed orders in NMS stocks and NMS securities that are options contracts. The reports are published as PDFs and XML files for each calendar quarter. Data is collected from firms at the end
My name is Brian and I am a retail investor. I do not have a background in finance or economics and I do not have any SEC certifications. I have 3 trading accounts; a joint brokerage, an individual brokerage and an IRA. The combined balance of these accounts is about $300K. I am in my 40s and no longer hold my corporate job. I am self-employed and chose to invest my own retirement and cash/margin
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.
Hi, I don’t know if this will reach anyone or go anywhere but voices need to be heard so I’m here to put mine in. Truth be told most Americans are realizing the stock market which is supposed to be a fair free market is rigged against us smaller fish. This has led many many many investors to obviously pull out money or join the so called “meme stocks” to put it against the big guys who laugh at
I work very hard every single day to get extra money to invest into stock market. Why in the world should the market lean towards the rich [REDACTED] that rob us everyday. They should be in jail darkpools gone I'll pay for my orders again. Naked shorts need to be forced close RIGHT NOW. DO YOUR JOB SEC
Dark pools need to be eliminated and naked shorts are ILLEGAL but are still an ongoing practice among hedge funds. SSR needs to also be enforced much better. The hedge funds are able to do whatever they want and don't get punished for their actions. SEC, please step up and stop illegal practices and be more transparent in regards to stock market information.
It is my understanding that FINRA is trying to limit peoples ability in invest in leveraged an short leveraged ETF's. Are we being forced to lock in losses on our portfolio? It will be a huge disincentive to invest (raise capital) in American business if investors do not have the ability to be short. Why would anyone be long stocks? The market will go down further with this stupid
I find it it incredibly demeaning that the same people who want to do this to us refuse to regulate themselves. Laws against insider trading for Congress continue to fail while they try and tighten the screws on us. Secondly, this is another way to inhibit short selling. You can't just make us buy stocks and bonds and manipulate the market up and to the right. Let the market work on
Please leave leveraged and inverse ETFs in tact. They allow simple investors like myself buy and sell simple ETFs like stock without having to do complex short trades or PUTS&CALLS which require more sophisticated trading knowledge. The ETFs work very well and simply for average investor. We realize the risk and losses are contained by broker if necessary. Thank you.
Leveraged and inverse ETFs are important to my investment strategy because I don't know how to trade options or short the stocks. It's easy to understand and easy to buy and sell. Please don't take it away from us. Otherwise I will have harder time to accumulate enough savings for my retirement. Please leave it alone, there are tremendous reasons for leverage and
