As a retail shareholder and investor (equities and options) in multiple companies such as Tesla, Gamestop, AMC, along with the typical ETFs tracking the broader market I feel that we have not been well served by the current rules and system. The lack of transparency, limited reporting, and massive loopholes like synthetic short positions and loan obligations not being required to be reported in
Retail investors do not typically have much to say during these critical junctures in financial history, but given the recent tumultuous events of the last year, and the potential systematic failures that can be eliminated by 21-19, I felt the need to lend my voice to the effort. Regardless of the viability of short selling as a legitimate investment strategy, the inefficacies introduced by short
I am disturbed and appalled to hear that FINRA is planning to prohibit my ability to invest in leveraged and inverse funds. I adamantly oppose to any regulator deciding how I should invest! I am angered by this arrogant and tyrannical effort to restrict how a consumer should invest his/her money. This is a clear and coordinated attack on the retail consumer to place the wealthy at a clear
Annual FINRA Election Cycle and Procedures Overview
December 17, 2004Beginning February 14, 2005, ECNs will be required to capture and report Routed Order Identifier information to OATS (See NASD Notice to Members 04-85). On that date, NASD, for routing firms, will begin including orders routed to ECNs as part of the Interfirm Route Matching statistics posted on the OATS Web Interface. Stats for ECNs and other order-
Clarification Of Notice To Memers 98-10
NASD Notice to Members 98-10 (January 1998) entitled "Transaction Reporting And Quotation Obligations Under the Fixed Income Pricing System (FIPS)" contained a question and answer concerning compliance officers and the need for firms to report all transactions under The Nasdaq Stock Market, Inc., Fixed Income Pricing SystemSM (FIPSSM), regardless
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Testimony Concerning Auction Rate Securities Markets, Committee on Financial Services, U.S. House of Representatives
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