Comments: The leveraged and inverse ETF products offered by Direxion and certain other institutions include complete descriptions of the risks associated with these types of investments and frequent warnings regarding risk in the product descriptions. Direxion even offers comprehensive explanations and educational materials with detailed product information. It is very clear in the fund
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the third quarter of 2023. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of January 5, 2024. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter January 4
Comments: FREEDOM TO CHOOSE should be the norm. in the market any and all financial products have risk embedded. the ONLY way a trader can make use of those products in a limited risk situation is by having correct and updated information that is really understandable to most, specially pointing extreme risk situations and by educating himself on how to handle risk with those products. so, my
Below are the zipped daily files of the Structured Product Activity Report and the Structured Product Pricing Tables. The zipped files will be available on the 1st business day of the month for the preceding months reports.
For additional information regarding the available reports, please contact TRACE Data Services at (888) 507-3665.
In the unlikely event of a system-wide failure, FINRA will use the following resources to alert members.
Learn about common fraud tactics and scams and how to avoid them; how to check registration for sellers and investments; and what questions to ask to protect yourself and your assets.
To whom it may concern, Short interest positions should be reported daily. Dark Pool trading should be banned. I can understand the argument for their initial creation, however I do not trust financial giants from misusing the dark pools for price suppression. Payment for order flow should be completely banned. Retail investors should be on an equal playing field as hedge funds and market makers
Proposals look great and I'm in agreement with all as they stand. Further comments: There's no reason why in a fast digital age reporting can't be daily, providing the most up to date information to everyone. Addition of synthetic shorts is a very welcome one. Further, there is speculation derivatives can be used in a way to make it appear a long position has been taken to cover a
I would like to see the following changes: Require that firms include synthetic short positions On the FINRA website- Make available short interest data for all equity securities (listed and unlisted). Short interest and short sale volume to be disclosed at a daily frequency Require firms to report short interest positions at the account level Require a report of daily allocations of fail-to-
A transparent and accountable market should be the lowest bar. This seems like a minimal step forward, particularly on a higher frequency and timely reporting, expanded information on account level positions, threshold securities, and ownership of synthetic shares. Please do more than consider these enhancements. I had no idea that there was financing available to cover shorts - this seems
