(a) Procedures for Reviewing Transactions
(1) An Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President (FINRA officer), may, on his or her own motion, review any over-the-counter transaction involving an exchange-listed security occurring outside of Normal Market Hours (9:30 a.m.
The proposed amendment to FINRA 4560 is a laughable attempt at improving naked short selling internal control measures, actual regulatory action, or really any kind of further obligation on the part of the involved broker-dealers. There have been hundreds if not thousands of regulatory "actions" taken by FINRA related to short sale, and misreporting/misclassification of shorts. This
We would like transparency on all naked shorts please (AMC specifically). The hedge funds are cheating and terribly stealing from the AMC share holders. We need immediate, swift action for enforcement and regulation. It is time to reveal the great conspiracy and pay the AMC shareholders immediately. Thank you.
The FINRA Board of Governors will consider the following rulemaking items at its December 2014 meeting. After the December 4 meeting, FINRA will notify firms via email about the Board's actions on these items and anticipated next steps, if any.
TRACE: Public Dissemination of Additional Securitized Products and Reduced Reporting Timeframe
The Board will consider proposed amendments to TRACE
Summary
The purpose of this Election Notice is to (1) notify members of an upcoming election to fill two large firm seats and one mid-size firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional candidate on the ballot
I have invested for 30 years. I have used inverse etfs to protect my investments in markets that decline, often because of government actions.
No one should have to pass a test administered by the government to protect their own finances.
This is overreach by a department that I do not believe is looking after my best interests. It is pursuing an agenda that is against my best interests.
To Whom It May Concern:
I believe I am responsible for the way I invest my resources and the products I choose. Limiting my choices by intervention of regulators and the steps they take to limit my choices is improper. Inverse fund investment is part of my financial method of preserving my resources. Please do not take any steps to limit my actions in this manner.
I depend on leveraged ETFs for my retirement. Without these returns, I would not be able to earn enough to support myself in the coming years. I understand well the risk associated with these funds and have educated myself well enough to trade them. I very much oppose any limitations placed on mobility to do so by regulators and feel such actions would be unfair and discriminatory.
Stop trying to "protect" retail investors from themselves. We don't need your protection. We make our own decisions. You are just making the playing field uneven. I am fully educated in the risks of my own actions and spend many hours researching, running simulations and learning and I am satisfied with my own risk tolerances.
Please allow small investors to play on a level playing field and stop enriching wall street at the expense of smaller players. I am opposed to FINRA imposing strict limitations on what I freely choose to invest in. I'm a big boy and am prepared to deal with the consequences of my actions. I don't need a regulator telling me what is good and bad to invest in.
