Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to enhance the collection and dissemination of new issue reference data for corporate bonds and charge associated fees.
See also SR-FINRA-2021-007 (Proposed Rule Change to Extend the Time to Announce the Implementation Schedule for FINRA’s
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I think people should be free to decide whether they should invest in leveraged funds. They should be able to profit from their good decisions and pay for their bad decisions without the interference of government. The government influence should be to make sure the system is fair to all.
Regulators should not interfere with my right to purchase leveraged or inverse securities. We have a free enterprise system, so please don't interfere with my liberties. If I lose money in this type of investment, then lesson learned. That's the best way to learn.
This is an absolute infringement on my right to an American dream! The regulatory system in this country has gotten completely out of control! I choose to use these securities to hedge long postions. This will NOT help anyone achieve freedom. You are literally regulating the wealth gap larger.
FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring Representative
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 19, 1987, 21 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,893. These 21 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
IMMEDIATE ACTION REQUIRED
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Mutual funds that are sold with front-end sales loads often offer investors the opportunity to pay reduced sales loads under a variety
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENTS: August 9, 1986.
The National Association of Securities Dealers, Inc. (NASD), is requesting comments on a proposed amendment to Section 2 of Schedule G of the NASD By-Laws. The proposed amendment would require NASD members to report transactions in listed securities executed between 4 p.m. and 4:30 p.m. Eastern Time to the
Eliminate dark pools Fines should be greater than the profit hedge made from the illegal activity Jail time is needed for market manipulation. Short positions should be forcibly closed out if illegal market manipulation is found and trading rights of those involved should be revoked. Shorting taking place in the dark pool needs to be disclosed to the public. If an institution buys shares in the
