SUBJECT LINE: Regulatory Notice 21-19 To Whom it May Concern, In a fair and open market there should be transparency and a level playing field for all investors. Right now, there is a massive deficit in access to information, trade speed, preferential terms and types of trades, and pay-to-play investing that heavily favors institutional investors over retail investors. Additionally, institutional
In a fair and open market there should be transparency and a level playing field for all investors. Right now, there is a massive deficit in access to information, trade speed, preferential terms and types of trades, and pay-to-play investing that heavily favors institutional investors over retail investors. Additionally, institutional investors engage in relationship-based, illegal, or near-
As a retail investor that has garnered a profit over the years trading options as well as holding leveraged ETFs on and off and having gleaned through the wealth of information available to me about these products I don't believe there's any need for further regulation. Both options and leveraged ETFs should be trade-able by "non-sophisticated" retail investors at their own
The Market Access Rule topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
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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.
Hello, To whom it may concern, I request that with diligence and haste we implement blockchain technology to ensure a free market. In regards to voting on market practice and for t-0 trade transactions, a fundamental blockchain system would give us a streamlined and sufficient order flow to close the trading gap between market makers and retail. We are recklessly headed toward more financial
Effective Monday, August 29, 2022, the FINRA TRACE, ADF and ORF Web API reference data downloads will no longer be accessible using the Transport Layer Security (TLS) 1.1 protocol. FINRA will disable TLS 1.1, and firms using that protocol will not be able to establish connectivity to FINRA’s secure web servers to download the files. To gain access to the FINRA API reference data downloads, firms
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to modify Trade Reporting and Compliance Engine (“TRACE”) dissemination protocols regarding Agency Pass-Through Mortgage-Backed Securities or Small Business Administration (SBA)-Backed Asset-Backed Securities traded in Specified Pool
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
New Year's Day: Trade Date-Settlement Date Schedule
Securities exchanges and The Nasdaq Stock MarketSM will be closed on Wednesday, January 1, 1992, in observance of New Year's Day. "Regular
