Hello, I appreciate the opportunity to comment on this issue. The premise behind the day trading rule is based on protecting the investor, but this limits a lot of small investors from learning the trade. Let's be honest here, there's a lot of "day traders" who aren't successful because they are gambling. Well, at least with the stock market, people are able to make
Executive SummaryThe purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.As detailed below, the following seats are contested:Midwest Region Committee, District 4 representativeMidwest Region Committee, District 8 representativeNew York Region Committee, District 10
All widows and widowers could benefit from a few basic financial tips to manage their money.
To whom it may concern, I would like to voice my concerns regarding the following: Naked short selling High frequency trading algorithms Payment for order flow Dark pools Over the course of 2021, meme stocks have made quite a splash in financial markets and exposed what would constitute fraud for the average person, but turns into "savvy investing" for financial institutions. The
The ways in which hedgefunds, family offices, and institutions are able to hide their naked short positions, whereby effecting an inaccurate short interest %, means that this isn't a level playing field. Force them to disclose ALL positions so that I, a retail investor, may choose to invest my money in a responsible way.
Funds tracking non-traditional indexes can provide investors with an expanded set of investment opportunities beyond those offered by traditional indexes. But they can also create additional complexities and risks to consider.
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
I realize Im a little past the deadline for submitting comments, but in the interest of providing as many data points to decision-makers as possible, Id like to share some thoughts.
I have managed my own finances since I graduated from college at 21. After nearly three decades of hard work and sound investment, I retired from the rat race at 50. Surprisingly, I was able to accomplish this goal
The Neutral Corner—Volume 1, 2020
Mission Statement
Office of Dispute Resolution and FINRA News
COVID-19 Notice to Parties and Arbitrators
Case Filings and Trends
2019 Arbitrator and Mediator Diversity Statistics
Removal of the Award Information Sheet from FINRA's Website
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Rule Approval
Amendments to FINRA Rule 12000 Series to Expand
I strongly believe it is of the utmost importance that the general public be allowed to invest in these publicly available securities. They allow people with smaller amounts of capital to get the exposure they need to the market, and invest for they and their family's future financial well-being. Limiting these investments to professionals or only those with high capital would be class
