FINRA Adopts Amendments Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility
FULL TRANSPARENCY/ NO MORE LOOPHOLES Investors demand an end to the systemic corruption and crime that is plaguing our markets through un-regulated short selling that siphons real value from companies and investors and PREVENTS proper price discovery. Direct Registering (DRS via a transfer agent) shares is currently the ONLY way to escape the rampant fraud and the ineffective, unenforced
All information regarding what is happening on the stock exchange should be made public, otherwise the „game” is not fair. Short positions should be reporter and tracked daily. The lack of transparency only creates opportunities for Big players. A great example was set by regulators in South Korea who recently made the fines surrounding synthetic/naked shorting/FTDs to appropriately (!) reflect
SEC Rule 606(a) requires broker-dealers that route equity and option orders on behalf of customers to prepare quarterly reports that disclose specific information about their order routing practices for non-directed orders in NMS stocks and NMS securities that are options contracts. The reports are published as PDFs and XML files for each calendar quarter. Data is collected from firms at the end
I oppose restrictions to my right to invest in TQQQ, SQQQ and other leveraged products. I have been investing in these products for years and they are no more risky that any other stocks in the market. Anybody trading in the market has to understand that there is risk involved and chooses to take that risk...regulators should not try to babysit investors by trying to tell them which stock or fund
Decimalization Testing
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading and Market Making
Decimalization
Executive Summary
As a trader of leveraged Funds I find them only as a short term trade to enhance portfolios. I find that they also are much less risky than many stocks on the market such as : OTC stocks , many Biotech stocks , also high flying stocks such as those in the ARK fund. These are just some examples of stocks that may be more dangerous to hold. Look at options those are what are dangerous. Some of
NASD has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
This is absolutely ridiculous. I'm interested in these products specifically because I understand the risks of leveraging and shorting and I want a proxy institution with higher net worth to assume that risk on my behalf. That's what leveraged and inverse funds offer me. I can't lose anything more than I invest, so how is it any different from other etfs or mutual funds
I have been investing for 20+ years and I am retired and manage my own portfolio. I rarely use reverse or leveraged stocks but sometimes that is the only way I have to protect my portfolio. I understand the risks but I ALSO know the risks of not protecting not protecting it. I do not short stocks because that has unlimited risks also. Please leave the system alone so we retail investors can
