TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Good Friday, March 28, 1986. "Regular-way" transactions made on the business days immediately preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way" Transactions
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-4 Internal risk management control systems for OTC derivatives dealers.
15c3-4(a) An OTC derivatives dealer shall establish, document, and maintain a system of internal risk management controls to assist it in managing the risks associated with its business
Dear FINRA:
I am very much opposed to restrictions on my right to invest. This is a great overreach making public investments available only to the privileged few and puts the small investor at a great disadvantage.
I am at the stage in life where I am longer able to work outside the home and plan to use investing to support myself in my later years.
Recently, I have learned how to use inverse
1) make sure you receive correct data. 1a) if you don't, somehow make sure they do in penalties, that isn't pennies for short interest positions. Either make them relieve their position or ban them for trading for some time. 1b) don't let them self report giving them the option to lie. 2) ban dark pools. It does add liquidity, somehow. But at what cost? Especially with payment for
More oversight and transparency is needed for short interest, options, and derivative products. It is not acceptable that there is a maximum threshold for short interest set at 140% where in actuality it could be much much higher. It also appears that there is no enforcement of false reporting. There is evidence that Citadel has call option contract out larger than shares existed while retail
I have invested and traded stocks, options, etf's for 20 years and understand the risks involved. I have a high net worth and only risk approximately 5% of my stock portfolio on options and etf's hedges. I have extensive knowledge by reading about various types of investments. This is the U.S. where we should have the right to invest public investments of all kinds if we choose
I am a very average investor and have been using leveraged and inverse ETFs to enhance returns for over a decade.
I don't want to have to go through training or pass a test in order to trade these funds and find it insulting that FINRA thinks so little of the general public that we're incapable of understanding the benefits and risks of leveraged and inverse ETFs.
Without
SEC Approves Amendments to Rule 1120 to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements; Effective Date: Anticipated April 2005; Specific Date to be Announced in Future Notice to Members
I oppose restrictions being placed on my right to choose and invest in stocks/bonds/annuities/funds/ETFs/crypto with my own resources as I see fit.
I have been investing for nearly 30 years, carefully researching the products I trade without relying on any particular broker nor adviser. I have recently added cryptocurrency assets, including BITO Proshares. I view this as an additional branch to
