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 7610A to modify the securities transaction credits applicable to non-Retail Participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq TRF Carteret”) and the FINRA/Nasdaq Trade Reporting
I would like to express my SUPPORT for additional regulation of trading leveraged and inverse funds. I use leveraged ETFs quite heavily in my own financial planning, and I don't see any reason not to require investors to pass a simple test to use these products. They are a great tool for hedging, but they can be very riskyand I believe some measures should be taken to make sure that they
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to add industry member compliance rules relating to the Consolidated Audit Trail (“CAT”) to FINRA’s Minor Rule Violation Plan (“MRVP”).
GUIDANCE
Options Position and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior Management
Trading
Training
Exercise Limits
Options
Position Limits
Rule 2860
Executive Summary
On January 25, 2007, NASD filed for immediate effectiveness with
the Securities and Exchange Commission (SEC) amendments to
Rule 2860 extening until
Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
To whom this may concern, We the people want you to hold short sellers and hedge funds accountable. There is blatant market manipulation going on which effects millions of people across the globe. The dark pools should be abolished. We need visible transparency in the market for fair and honest practice which is preached but not practiced. The growth in interest of retail investment should be an
GUIDANCE
Options Position and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior management
Trading
Training
Exercise Limits
Options
Position Limits
Rule 2860
Executive Summary
On August 10, 2006, NASD filed for immediate effectiveness with
the Securities and Exchange Commission (SEC) amendments to Rule 2860 extending until
Guidance on Reporting Electronic Communications Network (ECN) Transactions
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 7620A to eliminate the per-transaction fee for late reports and corrective transactions that is currently imposed on non-Retail Participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq
If it’s one thing that Melvin capital, citadel, point 72, Susquehanna and Virtu have taught me, in conjunction with the ongoing short selling sagas of certain meme stocks, is that if something isn’t done quickly an entire generation of investors will abandon the US stock market. We are very clearly an oligarchy, which is not only an insult to our founding fathers, but a travesty enacted upon
