Proposed Rule Change to Adopt New FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System)
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 16, 1987, 23 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,940. These 23 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
FINRA experienced an issue on December 23, 2024 with the processing of Weekly OTC Transparency Data, thereby causing a publication delay for the week of November 18, 2024 (NMS Tier 2 and OTCE). The issue has now been resolved and all files and data have been published on the website. If you have any questions, please contact FINRA Business Services.
I strongly oppose any restrictions on my right to invest in public investments. I believe it is my right to make investment decisions that are right for me and my family without regulators getting involved in those investment decisions. I know what is best for me, and I believe it is very presumptuous to assume a regulator is more concerned about my well-being and investment decisions than I am
I oppose restrictions to my right to invest. My money is my money. I should be able to choose whether to invest it or not. If I choose to invest it, I should be able to invest it in whatever way I see fit. A politician should not have any say in how I invest MY money!
I am very capable of doing my own research and take every investment into thorough consideration before investing. I should not
Leveraged ETF's and crypto ETN's are part of my broader strategy in hedging and incrementally fine tuning my use of leverage. Retail investors and traders like myself accept the risk that come with leveraged ETF's, and it's not up to regulators to decide how much risk retail investors should take. Retail investors are capable of understanding the risks
I strongly oppose restricting trading. Everyone has the right to pursuit of happiness per the law. Public investments are public and not private/for privileged/rich that can be assessed with a simple test that some people design who themselves may fail when assessed by people with different mindset. Similar to an education degree does not guarantee that they will become Einstein's or
SEC Approves Amendments to Transaction Reporting and Trading Activity Fee Rules Related to the Reporting of Asset-Backed Securities Transactions
I am a successful investor with many decades' experience. Every investment I ever made required me to analyze the risks. Some worked and some failed. I will make my own decisions. The notion of passing a regulator designed test of risk sophistication is ridiculous, frankly insulting. The entire lot of your staff has no more - and probably less - risk assessment expertise. Why should I submit
I find it disturbing that your agency wants to take away my ability to pick investments based on my research and ability to decide how much or little to risk in very common market instruments. Why should I have to take a test to prove to you - unnamed bureaucrats - that I understand the risks and potential rewards of these instruments and what I do with my money.+ What tests can predict the
