Thank you, Elisse, and thank you all for being here tonight. I am honored by your presence. Over the years, I've learned that the most precious commodity these days is time, so I am very grateful that you have taken the time to be here this evening.
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PORTAL-Designated Equity Securities Directory
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Executive Summary
Nasdaq® is publishing a list of PORTAL®-designated equity securities for the reporting requirements of PORTAL equity transactions that will be effective on June 16, 2001.
On March
Chief Executive OfficerPresident and CEO of FINRAGovernor Since 2016Committees: Executive Committee, Finance, Operations & Technology Committee, Compensation and Human Capital Committee (ex officio, non-voting member), Regulatory Policy Committee (ex-officio), Regulatory Oversight CommitteeProfessional ExperiencePresident and CEO, FINRA (2016 – Present)Partner, Cleary Gottlieb, Washington
I tried to purchase AMC stock in January, I was denied and frozen by Robinhood. I put in the money and tried to purchace below 10$, they refuse to execute my order...then wouldn't let me cancel it. They finally filled it after it hit the high around 18$ I have screenshot and email. Then, all of my friends were limited to buying power of a few shares a day! The economic impact is drastic as
To me, it is absolutely absurd that short positions are not required to be reported. If you require long positions to be reported, why shouldn't short positions? It seems as though the regulators are far too concerned with keeping the status quo and are letting hedge funds run wild, in a largely unregulated portion of the market. We have seen numerous short squeezes this year arising from
With a paternalistic misguided view that you are protecting retail, you are in fact restricting risk management actions that can be taken by retail. And in the middle of a correction! Inverse ETFs are liquid and can be sized appropriately while selling covered calls cannot be. And institutions are allowed to trade options during hours retail is not, further impeding my risk management efforts.
To whom it may concern,
I oppose any restrictions on my right to choose to make investments in any public investment. Investments should be available to all, not just the rich and privileged. I am perfectly capable of making my own investment decisions, I don't need you to tell me what is and what isn't a good investment.
I have already lost out on tens of thousand of dollars
Hello,
It is important for all investors to be able to access complex and leveraged products without discrimination. By placing a limit on retail investors, we are limiting their ability to make conscientious and smart decisions, which reduces their ability to succeed as investors. By removing the ability for the public to by all public investment products, FINRA is furthering the development of
Dear FINRA,
I've heard and am very concerned about the potential new regulations restricting access to leveraged and inverse mutual funds and ETFs.
It is very important for the US regulators to allow free and fair access to creative investment products in a publicly available format. In fact, there have been many private investment vehicles (hedge funds, private equity, venture capital
I strongly oppose any restrictions of my rights to invest in leveraged funds. I should be able to make my own investment decisions with my own capital. I, along with many others opposing such restrictions are well aware of the risks involved with investing in leveraged funds and many of us use such funds to enhance our returns during periods of economic growth (i.e. 2010 - 2020). I do not need to
