Hello whoever is reading this, hope your day is going well. I am a young investor with a few years experience actively trading and learning about financial products. Even though you're looking at making changes to how a wide range of complex derivate products are regulated, but I would like to talk specifically on leveraged products as they are what I am most familiar with. I'll refer
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the following seats are contested:
Midwest Region Committee, District 4 representative
Midwest Region Committee, District 8 representative
North Region Committee, District 9
This Rule 6400 Series sets forth quotation and trading requirements for "OTC Equity Securities" as that term is defined in Rule 6420.
Members shall use the OTC Reporting Facility for trade reporting in OTC Equity Securities and Restricted Equity Securities in compliance with the Rule 6600 and 7300 Series, as well as all other applicable rules and regulations.
Amended by
This Rule 6280 Series governs the reporting by members of transactions in ADF-eligible securities through the ADF. Transactions executed otherwise than on an exchange must be reported to the ADF, in accordance with Rule 6282and the Rule 7100 Series, as well as all other applicable FINRA rules, unless they are reported to another reporting facility designated by the SEC as being authorized to
At FINRA, we’re the first line of oversight for the brokerage industry. And our employees are the defenders along that line, ensuring every day that we protect the investing public against fraud and other violations of FINRA rules and the federal securities laws.
We’ve built a framework and cultivated a mindset, a culture for innovation and collaboration. It not only helps ensure the securities
The Neutral Corner - Volume 2—2023
Hello, I wholeheartedly support FINRA's step toward a vastly more transparent system. FINRA requests comment on whether FINRA should publish on the FINRA website short interest data for all equity securities (listed and unlisted). • Yes, absolutely all short interest data should be published. FINRA requests comment on whether the potential short interest enhancements discussed above would be
As a retail investor I cannot say I'm happy with the whole financial system with stock market. Everything we buy and sell is reported instantly. Our positions are transparent to any market maker or institution. All we ask for is full transparency on all transactions that occur in that trading day. In today's age we should be able to track and barcode every share that is available in a
Well, where should I start. I haven’t been trading long, approximately two years, but in that short time it’s become completely clear that every rule/restriction set in place benefits hedge funds and short traders. Dark pool is an absolute mind blowing joke. Shorts can just trade large order stocks back and forth, with no transparency, and drive the price downwards at any given time. That’s just
In a fair and free market there should be absolute transparency. The number of shares shorted should be available in real time during trading hours. No more dark pool trading. Every single share sold should be reported and able to be located at any time. Market manipulation is rampant and hurting retail investors. Get rid of algo trading back and forth. Naked shorting and FTDs should carry
