These are important financial instruments designed to protect investment dollars, not waste them. The geared and levered products provide important alternatives to options and other derivatives that are traded like stocks and with improved liquidity. I support their continued use and recommend no increased limitations on their use.
This well intended proposed regulation will force small investors into trading futures contracts in able to hedge or short the market, creating even more risk for the average investor.
Stop this silliness now. This proposed regulation does more harm than good.
I strongly oppose taking away retail traders’ right from trading complex products. This is unconstitutional and unfair as it only allows the rich to invest. The right and privilege to freely invest one’s own money on any products should be for all and not just the privileged.
FINRA may, pursuant to the procedures set forth in the Rule 9000 Series, suspend, condition, limit, prohibit or terminate a Trade Reporting Facility Participant's ability to use FINRA/NYSE Trade Reporting Facility services in one or more designated securities for violations of applicable requirements or prohibitions.
Renumbered from Rule 6360C by SR-FINRA-2008-066 eff. Jan. 1, 2009.
SUGGESTED ROUTING:*
Senior Management
Institutional
Legal & Compliance
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission approved on October 10 the establishment of Nasdaq
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Systems
Exchange Act Rule 15c3-1
Exchange Act Rule 15c3-3
Federal Reserve Board Regulation T
NASD Rule 2520
Unexpected Close
Executive Summary
This Notice provides guidelines to members regarding the applicability of Exchange
Best execution for retail investor. Best available price at the time for all investors. Stop dark pool trading, transparency on payment for order flow. Stop shorting and synthetic shares.
I want to see more fairness in the market. I want the T-2 system abolished. I want more accurate reporting of any/all trading. I want the big corporations to back off the little guy.
Young investors like me have very good understanding about investments. Leveraged and inverse funds help protects us during volatility of stocks. Covid-19 pandemic stock crash proved this. So, please allow trading without restrictions.
In regards to questionable trading through means such as so-called "dark pools" and concerning statistics indicating a high volume of naked shorting of synthetic stocks. I am request, on behalf of many retail stock traders, that all transactions for the AMC stock reported and verified within 24 hours.
