Melvin Capital complaint - lack of reporting regarding naked short positions leading to chart manipulation through darkpools. I hope something is done about behavior indicative of intentional malevolent chart manipulation by hedge funds developing bad risk analysis putting the broader markets in jeopardy by aggressively naked shorting stock with little regard for who's money they are putting
FINRA Revises the Rule 4530 Filing Application Form and the Product and Problem Codes for Reporting Customer Complaints and for Filing Documents Online
Sec. 11.1 FINRA shall be the sole stockholder of the capital stock of FINRA Regulation.
Amended by SR-FINRA-2009-020 eff. Aug. 20, 2009.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.Selected Notice: 09-39.
Rule 17a-5 requires all member firms to file Schedule 1 of Form X-17A-5. This Schedule is a calendar year--end report filed by all registrants as a supplement to the regular fourth quarter FOCUS report. Schedule 1 requires the reporting of general information designed to measure certain economic and financial characteristics of the registrant. I believe this form is
This being the United States it's still the land of the free. Each adult of sound mind deserves to educate themselves and have access to ALL investment vehicles. Even those investment vehicles that regulators or other individuals with a different risk profile would deem too risky or inappropriate.
Each person must make their own assessment of risk and whether that level of risk is
SEC Approves Amendments to Modernize and Simplify NASD Rule 2720 Relating to Public Offerings in Which a Member Firm With a Conflict of Interest Participates
Anyone who wants to invest should be able to. High risk investments are already limited at brokerage firms, example if you wanted to invest in certain option contracts brokerage firms will require a specific amount of capital in your account or you have to be eligible to invest using margin. Firms already are doing this to protect their risks so this would be unnecessary. Average investors should
Your threats to regulate and restrict my investment options is an insult to my intelligence and yet another slap in the face to the American value system and spirit of free enterprise and capitalism that has BUILT this country!!! I hedge to protect my investments and returns from volatility by using many of the products you are attempting to restrict...by doing so you will only succeed in
The risks of investing are well known. Loss of capital is always possible. The risks of investing in leveraged and inverse funds are equivalent. As an investor, I don't need the government to tell me what I may or may not invest in. Your duty is not to protect me from myself, or from possibly poor decisions I may make. At the limit, your duty may be to inform me of risks, but beyond that, it
Limiting investors in any manner from public market participation - whether in leveraged or inverse funds - is a terrible concept which runs counter to maintaining liquid, free and open capital markets. Brokerage firms and RIAs already are adept at advising clients as to the suitability of investments, and investors should not be precluded from participating in such public market investments
