I'm a retail investor, of the style that invests my meager retirement in ETFs and other low-risk vehicles. I've recently become more interested in managing my own IRA and such, in part due to the fervor surrounding GME and other tremendously short sold stocks. This interest let me to reading extensively about short interest, reporting, FTDs, and the options techniques used to "hide
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On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq National Market securities that
*In response to requests for an extension, the comment period has been extended to February 21, 2023.
Summary
FINRA has begun developing a machine-readable rulebook to assist users to more readily analyze and search FINRA’s rules. As part of this initiative, FINRA is creating an embedded taxonomy (which is a method of classifying and categorizing a hierarchy of key terms and concepts) within
I have used leveraged and inverse funds for years without problems. I can understand the desire to provide increased protection for the retail investor, but that could be handled by using the existing system of trading levels that brokerage houses use to limit trading in options and futures. I would think that it would be appropriate to require investors desiring to purchase these ETFs to be at
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Electronic Filing Requirements
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Legal & Compliance
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Senior Management
Electronic Filing Requirements
NASD Rule 3170
NASD Advises Firms That Certain Notices Required
under the Securities Exchange Act of 1934 Must Be Filed
Electronically Starting on January 1, 2007
Executive Summary
The Securities and Exchange
I believe it is every American's right to have a choice in where to store, spend, and invest our hard earned money. the banking system has failed us. yielding is .05% interest while they make billions on our money is an insult and should be a crime. crypto gives me the freedom to be in control of my own money and let me put my hard earned money to work for me, garnering all the profits (
As you may be aware, FINRA has already begun the rollout of FINRA Gateway—your new front door to FINRA. This new platform is intended to streamline compliance functionality. Throughout the development process, we are working with our users within the industry to add value to their interaction with
"Synthetic Short Positions: In addition, FINRA is considering requiring firms to reflect synthetic short positions in short interest reports. For example, enhanced short interest reporting could include synthetic short positions achieved through the sale of a call option and purchase of a put option (where the options have the same strike price and expiration month) or through other
I feel that government overreach has been getting worse and worse. I am a crypto investor. I feel some things that need to happen is making bots illegal for crypto. They are a problem for the industry when every tom dick and harry have a bot program like Pionex as an example. The government should regulate the industry, without screwing those who have been in it. I am for regulation on the
I am a retired insurance business owner and am solely responsible for investing and trading my retirement funds. I use Inverse and Leveraged funds to hedge my portfolio insurance to protect, preserve and grow my portfolio. As a small investor it is vital for me to have use of these tools to use as I see fit without interference from any other authority(s). I know my personal situation, my
