I would like to submit a public comment on possible restrictions on my right to invest in public investments. Especially leveraged and inverse funds.
By way of introduction, I am 60 years old, and make most all of the financial decisions in my household. I am an active investor in stocks, funds, bonds, emerging markets, and crypto. Basically, I trade in multiple and varied securities, and run
(a) Trade Reporting and Comparison
The following charges shall be paid by ADF participants for use of the System:
Transaction Related Charges:
Comparison
$0.014/side per 100 shares (minimum 400 shares; maximum 7,500 shares)
Automated Give-Up
$0.029/trade(if the associated publicly disseminated trade is not reported to the media through the ADF) (charged to the Executing
I partially trade with a US broker in order to have more access and freedom in my choice of investment vehicles. Making 'complex' funds only freely accessible to the elite and exorbitantly rich (like in the EU), whilst creating more and more hoops for regular people, will only limit opportunities for regular smaller investors. I should have the freedom to do with my own money as I wish
SEC Staff Provides Insight Into Firms’ Obligations When Providing Stock Quote Information to Customers
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceInstitutionalSystemsTrading
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EXECUTIVE SUMMARY
In a report titled "Clearance and Settlement Systems in the World's Securities Markets," a private-sector group published nine recommendations proposing standards for clearance and settlement of
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: DECEMBER 24, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed new By-Law that would permit the NASD to require trade comparison reporting by members conducting' an inter-dealer OTC securities business, as intended when the Trade Acceptance and Reconciliation Service (TARS) began development in 1981.
The
On Tuesday, February 8, 2022, from 4 p.m. to 6:30 p.m. ET, the FINRA Test Facility (NTF) will be unavailable for testing FINRA Multi Product Platform (MPP) products.
This affects FINRA's Trade Reporting and Compliance Engine (TRACE), FINRA's Alternative Display Facility (ADF) platform, and the OTC Reporting Facility (ORF).
FINRA's production systems are unaffected by
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members
On April 12, 1984, the SEC issued Release No. 34-20853 requesting public comments on the NASDAQ Options Program. The text of this release, together with a document which provides an overview of the NASDAQ Options Program and a fact sheet highlighting major features of the program, are enclosed with this notice.
The
We need more transparency within the market. We need to see daily reports on a specific institution's short position regarding the amount of shares they have on loan, the amount of time those shares have been borrowed, the amount gained/loss due to a short position, and the amount of IOUs/tangible shares that are being traded. This is also including trades done within the dark pool, not just
Dear FINRA regulators,
I respectfully and strongly oppose further restrictions on my right to invest. Public securities should be something anyone in the public trading space should have free access to, regardless of income, occupation, net worth, or privilege. This includes leveraged and inverse funds, things I often use to hedge or trade in a tactical manner in my own portfolio. My volatility
