I wish to make my opinion know that I oppose any restrictions on my ability to trade leverage and inverse funds offered by ProShares. As a retired individual, I rely in no small way on my ability to trade these assets to great supplement my retirement savings. Any restrictions levied upon my ability to trade in these assets will great impair my ability to financially provide for my family's
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend certain NYSE Rules to reduce regulatory duplication and relieve firms that are members of both FINRA and the NYSE ("Dual Members") of conflicting or unnecessary regulatory burdens in the interim period before a consolidated FINRA rulebook is completed.
We, the retail investor, need current and up to date, daily information. We, the retail investor, require fairness and equality in making good decisions concerning the investments we choose. With current and up to date daily information, lets us make better financial decisions.
Proposed Rule Change Relating to the Publication of Certain Daily and Monthly Short Sale Data on the FINRA Web
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Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) to modify the query fee applicable to non-retail participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq TRF Carteret”) and the FINRA/
1. Disciplinary sanctions should be designed to protect the investing public by deterring misconduct and upholding high standards of business conduct.
The purpose of FINRA's disciplinary process is to protect the investing public, support and improve the overall business standards in the securities industry, and decrease the likelihood of recurrence of misconduct by the disciplined
do this. naked short selling should be illegal. if i’m a used car salesman and have a title for a car, but then make thousands of copies of that title to sell, i’d go to jail. but in the financial market? it’s the current practice of many hedge funds and market makers.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 6732 to provide FINRA with authority to, subject to conditions, exempt transactions by a member alternative trading system (“ATS”) that meet specified criteria from the transaction reporting obligations of FINRA Rule 6730 (
Proposed Rule Change to Amend Rule 13806 to Provide for Appointment of Chair-Qualified Public Arbitrators in Promissory Note Disputes
Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
