Decimalization Testing
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading and Market Making
Decimalization
Executive Summary
Thank you for asking for comments. I am a fairly new investor (got more serious in January). I love numbers and reports so you can imagine my frustration with all the different results at the end of each day regarding short interest. Fintel would say one thing and Ortex another, etc. I also follow litigation news as well and had a suspicion confirmed when a firm was accused of marking shorts as
Usually when an action like this happens, the powers that be ARE NOT thinking about the average investor, they are thinking how can we keep the major benefits of investing to the "Ultra Rich" and thereby avoid any "Gamestop" activity and exactly time the market for their own wealth. Do I think it is important for any security to have full disclosure? The answer is yes. But
Please do not restrict my ability to invest in inverse funds. I don't want my only choice to be long the market or out of the market. The government policy of setting artificially low interest rates for far too long leaves me little choice. My retirement savings is being eaten away by inflation, whether inflation is high or inflation is low. I need the same investment options available to me
I am opposed to adoption of Rule #22-08. I am not a big time investor, but I invest consistently and I think wisely using Proshares leveraged ETFs among others. I understand the long term risk of investing in these ETFs and usually do so for the very short term, I believe my participation makes for a more liquid market which I believe is the reason this country operates a capitalistic system, In
Are you kidding me? Do you want to be more obvious that you're aware your financial system is broken and the retail investor has figured out the game. This screams that regulators are afraid of the power of the every day citizens. DO NOT PASS THIS REGULATION. People deserve the power over their own finances no matter how small they may be. If this is a reaction to the rise of the retail
On December 1, 2009, the SEC approved FINRA's proposed rule change to adopt a new set of rules governing clearly erroneous transactions in the consolidated rulebook.
More regulations no sirs. There are to many now that limit the small investors like me that contribute to the benefit of our economy and others retirements. With out this type of strategy available I will be pushed out of your system and take my money elsewhere . I am putting up with your current rules because I still feel I can get ahead with out risking it all. I feel the majority of people in
As a 'retail investor' I support these measures. I have investments with professional financial advisors/brokers as well as my own self guided investments. I can honestly say if I were to get into complex products such as options, leveraged funds, etc I would not understand the true risks I was taking. I trust my financial advisor/broker to understand and manage these risks, so I would
FINRA rules require that member's communications with the public be accurate, fair and not misleading. An investor considering the series of a broker-dealer, including a "discount" broker, should be informed of all factors material to his use of such broker-dealer's services. There are many variables in the charges and services offered by broker-dealers and it isn't reasonable to expect that every variation be included in media advertising, given the expense of such advertising. Relevant factors not included in advertisements should be communicated to persons responding, however. Certain items should be included in the advertisement itself, when the advertisement would be misleading in the absence of their disclosure.
