With almost 50 years investing in the market including in sp futures I am appalled that such restrictions on my trading leveraged or inverse funds in an insult to my intelligence.
Comments: The notion of limiting my ability to trade leveraged ETF is horrifying. This is over-reach and Big Brother at its worst. It is not for you to decide my appetite for risk.
I use these products to hedge my portfolio. Don't make my life more complicated. Go after a real problem, like insider trading in congress.
(a) An ADF Trading Center that wishes to withdraw quotations in a security, other than instances when an ADF Trading Center is unable to submit automated quotations to the ADF, shall contact ADF Operations to obtain excused withdrawal status prior to withdrawing its quotations. If an ADF Trading Center cannot submit automated quotations or is unable to immediately and automatically respond to
This month, we are marking the 10th anniversary of the FINRA Securities Helpline for Seniors—an important milestone for a critical service that FINRA provides to protect vulnerable investors and assist harmed investors. On this FINRA Unscripted podcast episode, we will be speaking with leaders from FINRA’s Vulnerable Adults and Seniors Team—Elizabeth Yoka, the manager of VAST Intake, and Michael Paskin, the manager of the VAST Investigations, to discuss the Helpline and its 10 years of protecting investors.
Advances in technology have transformed the workplace for members and their associated persons. These advances have changed how members and their associated persons conduct business and interact with customers, expanded customers’ choices in engaging with members and the securities markets, and created opportunities for different workplace arrangements for members and associated persons. Members also increasingly leverage digital innovations to create operational efficiencies and optimize decision-making, and to respond to investor demand for digital platforms.
Mr. Chairman and Members of the Committee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
The lack transparency that Hedge funds offer is astonishing, it allows fraudulent trading of securities with impunity! Short
Hello FINRA, First, off thank you allowing public comment on the need to better regulate options and trades involving short positions and shorting instruments. Please let ask a simple question: If Failure to Delivers on the Threshold list can be satisfied with borrowed shares, who is the owner of the settled delivery? Why have a Threshold list at all if it is ignored when the settlement period is
I would like for more transparency when it comes to sharing trading information, especially considering shorts.
