I am a new retail investor but I have found quickly a strong sentiment of unfair trading practices and market manipulation by hedge funds that leaves retail traders at significant disadvantages. I appreciate the efforts on behalf of FINRA and the SEC to eliminate these events of malpractice by enforcing the rules that are currently in place, as well as, providing the public with more accurate and
Synthetic Short Positions FINRA should require firms to reflect synthetic short positions in their short interest reports daily. Exchange-listed Equity Securities FINRA should publish on the FINRA website short interest data for all equity securities (listed and unlisted) daily. Information on Allocations of Fail-To-Deliver Positions Reporting daily allocations of fail-to-deliver positions to
Hello and good evening. I would just like to comment that it makes no sense why the market maker "Citadel" trades on the dark pool that they created not having to report any information while they look at every order we make. Investing in a company should not be playing against the house, this is not a casino, it is an investment for the better of our economy. FINRA (you) reported GME
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
As part of its Transparency Services improvement initiative, beginning Monday, September 9, 2024, FINRA will re-platform the TRACE Corporate and Agency product to a new Linux-based operating system. FINRA encourages client testing participation in this effort to validate that all processes work within the TRACE reporting framework.As part of this migration FINRA will introduce a new protocol to
Subject: Investors ability to trade "complex products" - including leveraged and inverse funds (L&I Funds)
Dear Regulators,
I am Janakiraman Chandrasekaran, 59 years old and I like to voice my opinion regarding your proposal on limiting access to Leveraged and Inverse ETFs (complex products).
Educated Investor: I like to inform you that I am an educated investor in
Investors should be able to determine for themselves whether or not particular investments are appropriate for my or my family's investment goals. It suffices for investors to know that ANY security poses inherent risks, or more often, volatility.
The ability to invest freely is a necessary component of Americans' financial security: Social Security and pensions often are
I am not in favor of any regulation that would take away my ability to use investment devices that are available to others or to throttle or adjust my access.
I use a leveraged ETF (TQQQ) to risk a smaller amount of money and possibly achieve greater returns as part of my comprehensive investment strategy. I am quite pleased with the results and will continue to use it as a portion of my overall
Summary
Effective September 1, 2021, FINRA is amending its rulebook to eliminate the Order Audit Trail System (OATS) rules in the FINRA Rule 7400 Series and FINRA Rule 4554 (Alternative Trading Systems — Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) (collectively referred to as the “OATS Rules”). FINRA has determined that the accuracy and
I oppose restrictions on the public's ability to invest in complex products for numerous reasons.
1. The definition of a complex investment is vague, arbitrary, and subject to administrative change in the future. This can cause a new risk for investors who may hold these products now but may be restricted from them in the future, forcing them to sell the products.
2. Being a complex
