I honestly have been losing faith in our stock market in general and want to bring integrity back to our markets. If shares aren’t properly reported and have the ability to be manipulated on a mass scale then what’s the point of the every day investor even attempting to do anything?? My comment would be to enforce the law on ALL of us not just some. If naked shorting or selling of stocks they
The cat's out of the bag; retail investors now see and know that hedge funds and big business, in general, are taking advantage of the general public. Excessive and indefinite short-selling to drive stock prices down (and some companies out of business), as well as trading away from major exchanges that retail investors cannot interact with is destroying our faith in the system. The
While short positions is legal and should remain so, predatory shorting that harms American companies, it's consumers, and American investors should be abolished. Greater monitoring of the practice and regulatory enforcement to prevent it from occurring is desperately needed. "Dark Pool" trading in particular is should be illegal and have those that participate in it the subject of
To whom it may concern, Short interest positions should be reported daily. Dark Pool trading should be banned. I can understand the argument for their initial creation, however I do not trust financial giants from misusing the dark pools for price suppression. Payment for order flow should be completely banned. Retail investors should be on an equal playing field as hedge funds and market makers
Amendments to Incorporated NYSE Rules to Reduce Regulatory Duplication; Effective Date: November 11, 2008
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 9231 to provide for the compensation of all panelists that serve in connection with a FINRA disciplinary hearing, regardless of whether it is an Extended or non-Extended Hearing.
Summary
In August 2019, FINRA launched a retrospective review that, among other things, sought stakeholders’ input on the effectiveness of Rule 3240 (Borrowing from or Lending to Customers).1 Based on feedback received during the review, FINRA is proposing amendments to Rule 3240 to:
emphasize that the rule generally prohibits registered persons from entering into borrowing or
Whereas Federal bureaucrats ought not restrict the rights of citizens to participate freely in financial markets,
whereas I, not distant technocrats to whom I am a mere data point, ought to choose which investments are correct for me and my current investing situation / strategy,
whereas I should be able to access any investment or type of publicly traded security without capricious and arbitrary
In respect to derivative based VIX ETFs and Options on those VIX ETFs, Retail Investors do not understand these complex VIX ETPs. It is not the investor "may" not understand, but "does not" understand. These complex VIX ETFs like Proshares ETF UVXY are unsuitable for investors. The sponsors need 150+ pages of expert financial wall street and securities legal verbiage to
I have just learned from my brokers communication that FINRA is seeking public comments on restricting investors from buying a broad range of public securities designated as "complex products". I am an investor to handle my retirement accounts. It is very important for me to use as many tools as possible to protect my investments including inverse funds instruments for and
