I strongly favor these proposed rule changes. Specifically, the disclosing of synthetic positions. It is vital to combat predatory trading practices; further data releases and thorough market monitoring is required to achieve this end.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 6130, 6130A, 6130C, 6130D and 6130E to prohibit members from submitting to an NASD Facility (i.e., the Alternative Display Facility ("ADF") or a Trade Reporting Facility) any report (including but not limited to reports of step-outs and
* Dark Pools should be banned , they are being misused against retail by large players * Naked short selling can be address in 21st century by simply adding a unique identifier to each share and can be tracked for short selling. * Rules need to be enforced, cannot just have rules like SSR and nobody follows them, shares actually fall more on days of SSR * Fines should be increased 100X maybe some
Too much regulation is not a good thing. The rules are arbitrary and put forth because of one particular type of investment. It could lead to literally any stock investment having restrictions, leading to unnecessary volatility in certain situations.
September 26, 1995;
Executive Summary
On September 8, 1995, the Securities and Exchange Commission (SEC) approved a new rule under Article III, Section 50 of the Rules of Fair Practice (Rules) for reporting customer complaint information and other specified events to the NASD. The new rule requires members to report to the NASD the occurrence of 10 specified events and quarterly summary
Any ruling on having a higher degree of accuracy finding illegal activity is an important step for ensuring the U.S market maintains faith on the world market, with the added benefit of doing the right thing.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") an extension of the effective date of amendments to NASD Rule 3010(g)(2)(A) which defines the term "branch office," and related IM-3010-1 which provides guidance on factors to be considered by members when conducting internal inspections of offices ("Uniform Branch Office
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to expand TRACE reporting requirements to trades in U.S. dollar-denominated foreign sovereign debt securities.
I oppose this proposed rule change. It restricts the freedom of retail investors to advance their finances while allowing high net worth individuals to take advantage of more leverage. Everyone should have the same financial tools available.
Restricting investors abilities to trade certain funds under is absolute criminal [REDACTED] Institutions and the wealthy making rules under the guise of protecting us from ourselves is the most corrupt and dishonest [REDACTED I have ever heard.
