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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 6120 (Trading Halts) to conform to recent amendments to the NMS plans governing the collection, consolidation and dissemination of quotation and transaction information for NMS stocks and to make technical and clarifying
Yes! Please make these changes for a more fair and visible market. Individual investors are at a disadvantage when this information is withheld. The market should not favor short sellers as it does now. Congratulations on moving to make the changes the market needs!
Yes, please impose mandatory reporting on short sale positions in real time. The short sellers have real time data of the shorts sold, that information should be public and current. There is no free market without a transparent market.
By reporting FTDs and short positions it would allow for more transparency. It feels as if there are 2 sets of rules. The retail investor does not have all of the information to better equip themselves in their retail strategy. While giving institutions an upper hand.
In observance of Christmas and New Year’s Day, FINRA’s Market Transparency Reporting Systems will follow the schedule below:Monday, December 25, 2023 ClosedMonday, January 1, 2024 ClosedAffected applications include:Alternative Display Facility (ADF)Over-the-Counter Reporting Facility (ORF)Trade Reporting and Compliance Engine (TRACE)FINRA/Exchange Trade
Dear Sir/Madam, I work as an R&D Engineer, and consider myself a middle class American. I frequently invest in ProShares UltraPro Short QQQ ETF, symbol SQQQ, and ProShares UltraPro QQQ, symbol TQQQ. These funds give me great flexibility in meeting my long term investment goals. I am well informed of exactly what these funds offer, and am able to incorporate them into my investment
INFORMATIONAL
Exchange Act Rules 11Ac1-5 And 11Ac1-6
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Disclosure of Order Execution and Order Routing
Exchange Act Rules 11Ac1-5 and 11Ac1-6
Executive Summary
NASD Regulation Inc. (NASD RegulationSM) is issuing this Notice to Members to inform members about interpretive
do NOT enact any new laws that would restrict my rights to purchase leveraged and inverse funds and etfs. that should be an investor right. i am a normal informed investor, and i research my investment decisions carefully before i make any investment decisions. you should NOT be trying to restrict my investor rights.
It is absurd that companies would go through all the trouble of creating and publishing prospectus documents and abiding by all regulations only to have regulators deem them unsafe or unsuitable for investors. Please do not limit the my ability to trade. I want to make my own informed decisions and not have them made for me.
The individual investor should be able to choose the public investments that are right for themselves and their family. Public investments should be available to all of the public, not just the privileged. not regulators the regulators should stay out of how the public makes their trading decisions. Perhaps the regulators should look at Members of Congress that trade in insider information