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To FINRA, Timely and accurate reporting of all positions is paramount to the success of a trader. We use this information daily to assess the markets and to formulate strategies. All proposed changes need to be forward thinking, so we may operate in a 21’st century marketplace. We need more data to accurately predict market movements. You need to provide us with as much accurate and timely data
I would like to speak for all retail investors when I say the underhanded ways corporations are given to manipulate a stock are abhorrent. A pure disregard for what an "Open market" should be. I feel the only way the playing field can be leveled is to make all information available to us, and for entities such as yourselves to police matters harder with stiffer penalties. This is the
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6100. QUOTING AND TRADING IN NMS STOCKS6110. Trading Otherwise than on an Exchange6120. Trading Halts6121. Trading Halts Due to Extraordinary Market Volatility6130. Transactions Related to Initial Public Offerings6140. Other Trading Practices6150. Obligation to Provide Information6151. Disclosure of Order Routing Information for NMS Securities6160. Multiple MPIDs for Trade Reporting
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.
More regulations are NOT necessary. Retail investors should be able to freely choose what to invest in. Demanding us to pass tests or going through other special processes is annoying. Restrictions on retail customer access to complex products are even worse - they are unreasonable and unfair. As a leveraged fund investor, I always read through the information and assess risks before making an
Being that corporate America has a grasp on the stock market and can manipulate it and you as a politician can get insiders information as to what laws are passing and what PACs entice you where to vote by way of tempting gifts. Crypto is the way I can increase my financial future. I serious hope you consider how you vote as this is what many individual investors who found the benefit of
Im a normal citizen with a professional job and consider myself an average but informed investor. My investment plan is focused on long term gains and uses leveraged funds to do that. I follow a systematic investment program that uses safety switches and signals to reduce exposure to leveraged funds while also maximizing the benefit leveraged funds provide in the long term.
Im more than
Please do not limit my ability to choose leveraged and inverse funds. Without Wall St. experience or a high net worth, I feel confident I can employ these investment vehicles to meet my investment strategies. In today's world, there is a ton of information at our fingertips. These types of investments are useful as a hedge and also can help boost returns without having to buy an
I oppose any burdensome regulation on leveraged funds. I have no objection if you want to require potential investors to read information about a fund's risk and pass a test based on that reading before allowing the investor to invest in a high-risk fund. But I have invested in a leveraged fund where I can lose all my investment, and I accept that risk based on market factors. However,
In accordance with the SEC’s amendments to Exchange Act Rule 15c6-1(a) to shorten the standard settlement cycle from two business days (T+2) to one business day (T+1), FINRA will sponsor a final User Acceptance Test (UAT) to allow clients to test the changes for T+1 Settlement for the Over-The-Counter Reporting Facility (ORF) and the Alternative Display Facility (ADF). The test will occur on