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(a) Authority to Initiate Halts In Trading Otherwise Than on an Exchange in NMS Stocks
FINRA, pursuant to the procedures set forth in paragraph (b):
(1) shall halt trading otherwise than on an exchange in any NMS stock, as defined in Rule 600(b)(47) of SEC Regulation NMS, whenever any market that has the authority to call a regulatory halt in the security imposes a trading halt, or suspends the
Confidence and faith in the US stock market is decaying rapidly. I'm the poster child for this decay. Up until this year, I really wasn’t paying attention. I was under the mistaken impression that the market was fair for all participants. Over the past year, I’ve realized that this game is rigged, primarily through the essentially unregulated use of illegal synthetic (naked) shares by key
Beginning Monday, August 14, 2023, FINRA will increase the bandwidth rate for the Trade Data Dissemination Service 2.1 (TDDS 2.1) vendor feed from 2,500 kilobits per second (Kbps) to 3,000 kilobits per second (Kbps).
TDDS 2.1 subscribers should ensure their systems can accept the higher data rates. The TDDS 2.1 data rate change does not impact any of the ORF reporting applications (FIX and TRAQS
To whom it may concern,
I just received notice via an email that someone feels it may be necessary to hold my hand or to test my investing knowledge before I will be allowed to make certain investments with my own funds. I would like to make it clear that I am totally opposed to such a new regulation and do not appreciate even the thought of this possibility. I am free to gain or lose my
Summary
FINRA will conduct a special meeting of large firm members on or about October 31, 2022, to elect one individual to fill a vacant Large Firm Governor seat on the FINRA Board of Governors (FINRA Board).1 A formal notice of the special meeting, including the precise date, time and location, will be mailed to executive representatives on or about October 10, 2022.
The purpose of this
Regarding the proposed FINRA Regulatory Notice #22-08, I strenuously object to ANY legislation restricting ANY investment I choose to make. I have my own best interests at heart -- regulators only want power and could care less whether I have access to the investments I need for my own personal financial security. It is appalling how patronizing, paternalistic, meddlesome, and tyrannical
This is written to voice opposition to the proposed FINRA Notice. As an individual investor, there is no need for such heavy-handed regulation by a government agency.
We investors have the right to decide which equities, funds, bonds, etc we want to buy and sell -- this should not change. Yes, clear information needs to be provided to us by brokers, funds, cryptocurrencies, etc.
To FINRA, It has come to my attention through my broker that this notice may lead to a restricting of many types of investments that I have available to me. While some of the recommended requirements such as a cooling-off period and an increase in information that a client must see could benefit retail investors. Other requirements such as a net worth requirement are troubling, to say the least.
5/7/2022 ..Trying to freeze the market at a high - unrealistic price - will only destroy them. Lower prices are a good thing. It allows mostly young people - starting out - to establish a position at a better - more fair/value - price.
Have you noticed that markets go up and down? You should welcome vigorous price discovery.
Short sellers and inverse funds are the only force in the market that
I was born and raised in Eastern Europe during the Cold War when the socialist governments were choosing what is allowed for the individuals. USA became my second homeland because of the freedom of the people to conduct their own business. Individual investor should choose their investments, not regulators. The Financial Industry Regulatory Authority (FINRA) notice from March 8, 2022, seeking