FINRA Modifies the Process for Firms to Designate Their Allocation Methodology for Options Exercise Assignment Notices
I use inverse bond funds as a speculative tool to profit from a rise in interest rates just like someone who would sell bond futures short. Trading bond futures is more leveraged and riskier than what I am doing so why would you limit what I am doing but not restrict bond futures trading as well. There is no logic to that. I am asking you to NOT take my right to buy and hold inverse and leveraged
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Background
In December 2005, the New York Stock Exchange (NYSE) and NASD
(the
I apologize for the undoubtedly large number of submissions you are likely receiving from those simply looking to vent rather than actually comment on the specific matters in this notice. The scope of volume seen in trading is absolutely daunting, and I think the first question that should be asked regarding any information being collected is whether it is purely self-reported, or if there is
Simplified Arbitrations
The simplified arbitration rules apply to arbitrations involving $50,000 or less, exclusive of interest and expenses.
Expedited Proceedings for Seniors & Seriously Ill Parties
Dispute Resolution may expedite arbitration proceedings in matters involving seniors or seriously ill parties.
Expungement
Brokers may seek to have a reference to allegations or involvement
<p>NASD members must make an affirmative determination for all short sales prior to executing the sale (absent an exemption), including short positions not carried overnight.</p>
Complete transparency! If a market maker like Citadel can process order flow and know in real time what moves I'm making, then it should go without question that I be able to see what positions they are taking, also in real time. It's an extreme conflict of interest that they are allowed to do both. These current timelines for reporting are an extreme disadvantage to retail investors.
SEC Approves Amendments Relating to Recordkeeping and the Unsolicited Customer Order Exception of SEA Rule 15c2-11
Continuing Education Planning
If short sellers can lower the price of a stock, they must be bound to honor the transaction. Through numerous holes in the system, short sellers are able, without serious legal or financial repercussions, to drag out settlement (apparently) indefinitely or avoid settlement altogether. Utilization of such settlement avoidance techniques is a violation of Federal law. That is, crimes -- a (RICO)
