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SUBJECT LINE: Regulatory Notice 21-19 To Whom it May Concern, In a fair and open market there should be transparency and a level playing field for all investors. Right now, there is a massive deficit in access to information, trade speed, preferential terms and types of trades, and pay-to-play investing that heavily favors institutional investors over retail investors. Additionally, institutional
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the fourth quarter of 2021. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of April 1, 2022. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter March 31, 2022 as
In a fair and open market there should be transparency and a level playing field for all investors. Right now, there is a massive deficit in access to information, trade speed, preferential terms and types of trades, and pay-to-play investing that heavily favors institutional investors over retail investors. Additionally, institutional investors engage in relationship-based, illegal, or near-
In recognition of Financial Literacy Month, FINRA is highlighting five steps you can take to boost financial capability—both your own and that of others you care about. Whether you’re looking to build your own base of financial knowledge or are seeking ways to help others, FINRA and the FINRA Investor Education Foundation offer many resources to support you and your loved ones along your financial journey.
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.
Neutral Corner - February 2007
WASHINGTON – Beginning today, FINRA is expanding its ongoing transparency initiative for the over-the-counter (OTC) equity market by publishing new data about OTC trading volume occurring outside of alternative trading systems (ATSs). The data is available free of charge on FINRA’s website.
For the first time, FINRA will publish:
Monthly aggregate block-size trading data for OTC trades in
Self reporting of short interest needs to stop, that is like someone self-reporting what crimes they commit and not having a background check. Short interest needs to be reported immediately through automated means (mandatory monitoring software controlled by a regulatory agency) and made available to the public immediately within an hour. If the software stops it should automatically stop all
As an educated & well-researched "retail" investor, I find this legislation incredibly insulting. The condescending essence of the idea that I am not capable of understanding the risks of leveraged and inverse ETFs is disgusting. Such ETFs have allowed me to outperform the major indexes through the bear market we are currently going through, and without access to them retail
Linde Murphy Re-Elected as Small-Firm Governor
Moira Kilcoyne and Fabiola Arredondo Appointed as New Public Governors
Camille Busette and Ethiopis Tafara Re-Appointed as Public Governors
WASHINGTON – The FINRA Board of Governors elected current FINRA Public Governor Eric Noll as its next Chair. Noll succeeds Eileen Murray, whose term on the Board and service as Chair concluded at the Aug. 19