Any attempt to restrict my free and open access to utilize these financial assets will be met with immediate and justified organized class action litagation. These types of attacks on the investors that have been using these products for multiple years, have no need to provide PROOF that we understand what we are doing . It is evident that the consideration to ban access to these products NOW
I heard the whining and railing of the uninformed idiocacy during the last down turn. Some were blaming the severity of the drop in stock prices on SHORTs and wanted action taken to BAN them. Are you part of that craze? The small investor or beginners don't necessarily have the avenue to create wealth in a BEAR market. Inverse ETFs and short funds are exceptionally useful to us when used
This new purposed Rule is very concerning and cause's more harm than good, It is not the job of Regulator's to decide what individuals can purchase.The autonomy of what an individual buys with their own money, that should be in there hands, only their Hands. allowing individual investors to utilize these tool, provides access to more affordable professional strategy's! THIS IS OVER
Protecting investors from harm is a top FINRA priority. And when it comes to specific individuals who may pose a risk, FINRA's High Risk Representative Program is on the case, identifying and monitoring individuals who pose an elevated risk of misconduct to protect investors and maintain the integrity of the market.
On Monday, January 25, 2021, from 9:30 a.m. ET until approximately 9:57 a.m. ET, the FINRA/Nasdaq TRF Carteret experienced a networking issue that resulted in trades in Nasdaq-listed symbols being disseminated to the SIP in an untimely manner. Reporting by clients to the FINRA/Nasdaq TRF Carteret was unaffected. There are no actions that need to be taken by clients as a result of this
My concern with shorting a stock is the impact that action has on the company. By shorting 100% of a company's stock (or more!), the stock may drop to a low enough price that the company can't survive regardless of the underlying value. I would suggest a cap on the percentage of a company's outstanding shares that can be shorted, say 60%. This would allow the investor the ability
Short selling is illegal. Whether large market makers and subsidiaries are in litigation or not the regulatory bodies have a duty to enforce appropriate corrections for an inherently manipulated market. Short interest position reporting should be instant IF even allowed which it shouldn’t be. All the regulatory bodies keep trying to distract the public by asking questions and posting on social
Capital formation is the lifeblood of a thriving economy. It fuels business growth, innovation, and job creation. In the United States, however, an outdated and increasingly overreaching regulatory framework—specifically SEC Rule 15c2-11—has become a barrier rather than a bridge to economic vitality. Originally intended to protect investors from fraudulent or opaque over-the-counter (OTC)
On Monday and Tuesday of this week FINRA observed a small number of TRACE and ORF clients experiencing difficulties with their connections to the TRAQS website.
INFORMATIONAL
Amendments to NASD Rules Regarding the Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties
Effective Date: December 1, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Rule 3130
Rule 3131
Rule 9160
Rule 9400 Series
Net Capital
