Summary
FINRA has recently observed an increase in fraudulent options trading being facilitated by (1) account takeover schemes (sometimes referred to as account intrusions), through which a bad actor gains unauthorized entry to a customer’s brokerage account; and (2) the use of new account fraud1 by a bad actor who fraudulently establishes a brokerage account through identity theft.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: DECEMBER 4, 1987.
EXECUTIVE SUMMARY
The NASD is publishing for comment a revision to its proposed amendment to the Interpretation of the Board of Governors on Free-Riding and Withholding that would provide members with an alternative means of complying with the Interpretation for sales of new issues to investment
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
Consolidated Audit Trail (CAT)
Best Execution
Disclosure of Routing Information NEW FOR 2022
Market Access Rule
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To whom it may concern, As a private individual investor, I am adamantly opposed to any regulation restricting our access to leveraged and inverse funds. We do not need, nor want, the oversight and binding of regulators to protect us from our investment decisions and choices. Regulators consistently allow unrestricted free-reign to the investment bankers and Wall Street cronies who have captured
FINRA,
Its incumbent upon any investor who so chooses to invest in public securities, to first conduct their own due diligence by researching and becoming informed concerning the potential gains/losses that may be incurred. Therefore I do not feel it is necessary for additional regulations that would curtail, impede or prevent the publics access to their investing pursuits. Understanding the
Per your consideration of limiting my investment options, I believe this would be an infringement on the publics right of self determination. I have been involved in closely in investment markets for approaching 45 years, studying and actively participating. I find that I am frequently more informed and a better manager than even many professionals. LIMITING the investment vehicles I have at
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I am more than capable of choosing the publicly traded investment that are appropriate for me.
There is an abundance of easily available information on markets and the economy via the internet so that any reasonable adult can make adequate decisions on publicly traded investment funds, including leveraged ETF's.
Investing in ETF's, including leveraged funds is no riskier (and in
Hello, I wholeheartedly support FINRA's step toward a slightly more transparent system. FINRA requests comment on whether FINRA should publish on the FINRA website short interest data for all equity securities (listed and unlisted). • Yes, absolutely all short interest data should be published. FINRA requests comment on whether the potential short interest enhancements discussed above would
