I would like for more transparency when it comes to sharing trading information, especially considering shorts.
For a fair market all short positions should be public. All information she be made public.
We want more frequent public reporting of short positions and more detail in public reports!
I would like more frequent public reporting of short positions and more detail in public reports.
For the markets to be a truly capitalist vehicle, all data available so some must be available to all. SEC Rules mean nothing to these large firms because the penalties are not severe enough to matter. The relatively small fines for violating the laws of the US and the rules of the SEC are simply the cost of doing business for these firms. It is public knowledge they budget these things into
Hi Yvonne Huber, and Racquel Russell About myself I am a typical retail investor who has just began studying for the FINRA exams. Concerns/ Suggestions: 1. Please reduce the buy back period for Market Makers to T-0 this is the standard for other countries. 2. Please make the Fee for missing out on the T-0 5% of the FMV of the current price of the share multiplied by the number of FTDs and charge
I strongly oppose restrictions on my right, as a retail investor, to openly invest in ETFs which use derivatives for long or short public investments.
Comment Period Expires October 14, 1994
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
An Open Letter To Members Of The Financial Services Industry Regarding Compensation Of Retail Brokers And Their Supervisors August 29, 1994
As you may be aware, Securities and Exchange Commission Chairman Arthur Levitt asked us to serve on a committee to examine the securities industry
FINRA poses several questions for firms to consider as they evaluate whether their supervisory systems are reasonably designed to address risks of their SPAC-related activities. These questions are based on FINRA’s observations to this point in our review. In addition, the Appendix notes additional guidance FINRA has provided regarding member firms’ relevant obligations.
To Whom it May Concern: I am writing in opposition to SEC Proposed Rule #S7-24-15 which would place unduly burdensome restrictions on persons wishing to invest in leveraged an inverse funds. This rule would require passing a test, showing high net worth, "cooling off" periods and other impediments that would do nothing to address the risk that regulators perceive in these investments.
