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There needs to be more regulation on Overall market transparency. Otherwise the system is always going to be rigged. Things such as dark pools, payment for order flow, and short interest reporting latency, all make the perfect bed for abuse in the general market. Not even mentioning algorithmic trading. Also why so can be both a market maker and a hedgefund. I mean come on that’s just ridiculous
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the effective date of the temporary amendments set forth in SR-FINRA-2020-026 from December 31, 2020, to April 30, 2021. Due to the impacts of COVID-19 on the administration of FINRA qualification examinations at test centers, SR-
WASHINGTON – Military service members and their families often face unique financial challenges complicated by frequent moves, cost of living adjustments and un- or underemployment of military spouses. In an ongoing effort to increase the financial capability of service members and their spouses, the FINRA Investor Education Foundation Military Spouse Fellowship awarded 50 fellowships to military
As a retail investor, I believe all of the proposed changes should be enacted. Transparency is a requirement for our markets to remain fair and free. Gamestop had a short interest of 140% of the float at one point in December 2020/January 2021 which lead to the WallStreetBets short squeeze and subsequent trading restrictions because of systemic risk. If the short interest had been reported on a
FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Trading
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) has been reviewing member firm compliance with the Securities and Exchange Commission (SEC) Order Handling Rules and with Nasdaq® trading rules. We are taking this opportunity to reemphasize the application of several rules
I have worked in the financial services industry for over 20 years and do not feel these investment funds are too complex or should be limited in any way.
As a retiree with long service in paying taxes and abiding complexity. This proposed change
Serves no benefit to citizens making informed choices to invest in public equities.