I request that regulation and enforcement be equal for all stock market participants. It is frustrating to know how many advantages, privileges, and self oversight benefits are granted to institutional investors, market makers and clearance houses. The crimes are no longer speculation. There is public information on repeat offenders and habitual lawbreakers taking the stock market hostage to do
Dark pool money should be illegal. Hedge funds and MM's manipulate stock prices up or down by selectively routing purchases or sales of stock, at their discretion through dark pool funds that goes against all principles of free and fair trading practices. Some say, "well it used to be worse back in the day when all trades were on the floor of the exchanges, and with the advent of
the T2 system on short information needs to be T0 and live or at least updated hourly. FTD submissions should be daily on a T1 system. Large institutions have a huge advantage to see live market data and can act fast, swift, and often negatively affecting the retail investors experience with the stock market. Everyone should have equal opportunity to see live market action and data to make a
The federal government MUST consistently monitor the inherent market manipulation executed by certain hedge funds who have short positions in various stocks - mainly AMC and GME. The immense amount of naked short selling, buy orders being re-routed to the dark pool to prevent the stock from moving upward, as well as countless other violations need to be addressed as soon as possible. AMC and GME
Thank you for your time. I have a few questions. The dark pools were intended for a major seller of own investment to unload a large block of shares without forcing price up or down. It is now a daily assurance that 60-70% trades are in a dark pool vs open market NYSE for small share count trades? Prominently AMC and GME. Most of the rest of the market is 6-9% dark pool. Not going to fix shorts
As a “retail investor”, which is a term I hate, the actions of Wall Street “professionals” over the past 6 months or longer has been eye opening to say the least. As a 43 year old man with a Bachelors degree in finance, who has taken classes on investing, stocks, mutual funds, options, bonds, and various other securities I always knew that I wanted a professional to manage my portfolio and 401k
The penny stock rules under the Exchange Act require broker-dealers engaging in certain over the counter transactions in low-priced stocks to provide customers with specified information. See Securities Exchange Act Release No. 30608 (April 20, 1992), 57 FR 18004 (April 28, 1992). The penny stock rules permit a broker-dealer to fulfill some of these disclosure obligations by relying on pricing
As a retail investor I believe that the provably widespread practice of naked shorting dilutes the share pool of companies that I believe in which artificially lowers stock prices. It is a method that predatory short hedge funds use to drive stock prices down, rather than allowing the market to engage in true price discovery. This causes companies which might otherwise be beneficial to society to
Investing in leveraged ETFs should available to all investors and traders at all times. Leverage is not the enemy. If it were, very few of us would have mortgages. Right now, people of all levels of investment knowledge have access to trading stock and index options. Many of these people buy calls, most of which expire worthless. There is virtually no barrier to trading stock options that my
Summary
The U.S. government has imposed sanctions in response to Russia’s actions in Ukraine. FINRA is issuing this Notice to provide member firms with information about these recent actions. FINRA encourages member firms to continue to monitor the Department of Treasury’s Office of Foreign Asset Control (OFAC) website for relevant information.
If you have general questions
