<p>A partnership registering as a broker/dealer, which will be trading only for its own account, has no customers for purposes of Rule 2330(f).</p>
I am a retail investor and have been trading various of these “complex” products for well over a decade (leveraged/inverse ETF’s and options). I find the premise of this Regulatory notice to be highly suspect – that retail investors are not sophisticated enough to be able to trade these PUBLIC instruments and should have sufficiently high impediments put in place to discourage or bar their use (
FINRA members that trade securities listed on the NYSE ("Tape A"), Amex and regional exchanges ("Tape B"), or Nasdaq ("Tape C") in over-the-counter transactions reported to the FINRA/Nasdaq Trade Reporting Facility may receive from the FINRA/Nasdaq Trade Reporting Facility transaction credits based on the transactions attributed to them. A transaction is attributed
Short Sale Volume provides the public with aggregated short sale volume by security for all publicly-disseminated short sale trades executed off-exchange and reported to a FINRA Trade Reporting Facility (TRF), Alternative Display Facility (ADF) or Over-the-Counter Reporting Facility (ORF).
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Short Sale Volume data contains aggregated volume
FINRA members that trade securities listed on the NYSE ("Tape A"), Amex and regional exchanges ("Tape B"), or Nasdaq ("Tape C") in over-the-counter transactions reported to the FINRA/Nasdaq Trade Reporting Facility may receive from the FINRA/Nasdaq Trade Reporting Facility transaction credits based on the transactions attributed to them. A transaction is attributed
Placing limit orders in ECNs that comply with the ECN Display Alternative under the SEC's Order Handling Rules in order to affect the price of transactions effected through POSIT may constitute market manipulation in violation of the antifraud provisions of the securities laws and NASD rules.
Placing limit orders in ECNs that comply with the ECN Display Alternative under the SEC's Order Handling Rules in order to affect the price of transactions effected through POSIT may constitute market manipulation in violation of the antifraud provisions of the securities laws and NASD rules.
I've been trading TQQQ, a leveraged ETF for years. This fund is very important to me and my family. I fully understand the risks and potentials in trading leverage funds. As an individual investor, I should be able to choose my own investment strategy and don't need any special measurements imposed. Thank you!
Comments: Please do not limit access to retail individual investors nor materially change the current structure of these funds. I use these funds both with short- and mid-term focus as a swing trade investor, and these funds have become a key strategic element to my brokerage trading strategy complementing long-term holding strategies.
In a fair and open market there should be transparency and a level playing field for all investors; be they retail or institutional. The # of shares shorted should be available IN REAL TIME throughout the trading day. Dark pool trading must be eliminated. We can clearly see that large institutions are buying massive quantities of AMC/GME stock (for example) on the dark pool and then flooding the
