Make the market fair again. The market right now is for the rich, for the 1%. How does it suit together with the american values, like same opportunities for everyone, american dream. Many small people could change their life at the markets, but right now they just get molested and stolen from. The people are losing trust in your market from day to day more. MAKE SHORTS OBLIGATORY TO REPORT AND
The blatant manipulation against AMC and GME makes me lose complete faith in the US stock market. I am working on moving my money out of the US stock system. It's clear that our government is bought and paid for. This system with tutes lying about short positions, dark pools, secondary books by brokers, unchecked FTD's and high-frequency trading makes an unfair playing field to where
All short sale information should be available to all traders! ALL of it! Also, Dark Pools should be outlawed. Or at least, if blocks are bought on a dark pool, they should reflect the price on the retail charts. No more secrete crooked trading! OR, they should not be allowed to buy in a dark pool just to resell on the open market just to push a price down on a stock. Everything needs to start to
Naked Shorting and Dark Pool access across the market have gutted the “fair trading market”. Judicial Action and Margin Calls are requested to commence immediately to concurrently and preemptively filter the malicious acts of hedge funds in the United States and it’s chains/conglomerates internationally. Establishing recently passed DTCC and SEC rules must be applied to all active applications
I am president of Liberty Capital Investment. We are a small BD with 5 reps. We often buy bonds from 3rd party vendors. We find our clients can get prices by using an outside vendor like Muni Center versus buying from out correspondent inventory. Filling these orders often takes 10 to fifteen minutes to report. In the interest of best client price I remain firmly in favor of keeping the 15 minute
Retail Investors in the U.S and around the world are becoming more aware of how the financial industry works. Regulatory notice 21-19 is critical restoration of trust/confidence and stability in the U.S. markets. All regulation changes regarding SI be effective immediately in all circumstance: short position, synthetic or otherwise. The cost of operations needed for applicable market members to
Summary
FINRA alerts member firms to a rising trend in the fraudulent transfer of customer accounts through the Automated Customer Account Transfer Service (ACATS), an automated system administered by the National Securities Clearing Corporation (NSCC), that facilitates the transfer of customer account assets from one firm to another.
This Notice provides an overview of how bad actors effect
Executive Summary
In conjunction with the amendments to Regulation T (Reg. T) which are described in Notice to Members 96-37, the Board of Governors of the Federal Reserve System (Fed) is also requesting comments on proposed changes to Regulations G, T, and U. Reg. T covers extensions of credit by and to broker/dealers; Reg. U covers extensions of credit by banks; and Reg. G covers extensions of
GUIDANCE
Structured Products
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal and Compliance
Retail
Senior Management
Derivatives
Options
Structured Products
Structured Securities
Executive Summary
As a result of a recent review of members that sell structured
products, NASD staff is concerned that members may not be
fulfilling their sales practice obligations when selling
Is this not a free country? I should be able to choose what investments are suitable for my portfolio. Why should this investment only be reserved for a chosen few? I shouldn't have to prove myself to regulators that I am perfectly capable of making investment decisions that are in my best interest. While I've utilized these products for years, they are not my complete strategy, but a
