FINRA Revises the Treatment of Non-Margin Eligible Equity Securities and Delays the Effective Date
SummaryFINRA reminds members of its policy prohibiting members and their associated persons from making audio or video recordings of conversations between FINRA staff and member firm personnel during calls or meetings related to FINRA’s oversight functions.Questions regarding this Notice should be directed to Carrie Jordan, Principal Counsel, Office of General Counsel, at (212) 858-4210 or by
I oppose any restriction to trade in what is called complex products. I am experienced enough to know the risks of leveraged and inverse funds and do not need to have regulatory restrictions impose on me.
TO: All NASD Members and Other Interested Persons
On April 30, 1984, the Securities and Exchange Commission ("SEC" or "Commission") published for comment changes to the National Market System (NMS) designation criteria which by the National Association of Securities Dealers, Inc. ("Association" or "NASD") has proposed. If adopted, the effect of the changes
Why is a company like Citadel allowed to trade naked shorting, to the point that more than 100% of the company shares are sold.
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
Participation in NASDAQ's Automated Confirmation Transaction (ACT) Service, which has been approved by the
Should the sale of scratch tickets be regulated ? or the purchase of antiques , or coins ? Maybe the Stock market or 401k's ? I don't think restrictions on trading Crypto's is healthy for the Crypto Market or my investments in it .
I have been trading for many years and use the pro shares option To balance my long positions. As a retail investor it is fair For me to have the same options as the institutional big guys.
It's critical that my ability to trade leveraged and inverse funds is not blocked. Leveraged funds in particular are a critical part of my investing strategy. It doesn't seem fair to restrict access to investments such as this.
I use leveraged and inversed funds to hedge positions. I can hedge my position within seconds. Very helpful and makes trading much safer for me as the volatility is very unforgiving these days.
