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As a retail investor I would like to see many changes made to the way you gather short position information. I like collecting the information daily and also reporting synthetic shares. It seems to me that the market markers and hedge funds have way too much freedom to do as they see fit with very little oversight and little to no punishment handed out when they are caught in the wrong. Real
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former Goldman Sachs & Co. research analyst Brian Maguire for twice purchasing securities after he learned a fellow analyst was upgrading his recommendation in impending research reports and for lying to FINRA staff about his trading.
Jessica Hopper, Executive Vice President and Head of
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.
These products have been around for years with no 'damage' to any investors. Informed investors are fully aware of the risk associated with both Inverse and Leveraged ETFs.
Inverse fund are an important check on the stock market. I believe that individual investors, when informed of the risks involved, should be able to choose to invest in these funds.
I'm an informed investor and aware of the possible risks involved so please don't take away the freedom of what I want to do with my money.
When you enter an order to buy or sell a stock, your registered financial professional must decide where to route your order. The most familiar type of execution venue is a traditional exchange. However, other execution venues, including alternative trading systems, single-dealer platforms and wholesalers, have risen in popularity in recent years.
Hello, I dont want my rights limited in terms of my investment choices. Im an informed investor and dont want to lose access to these funds.
I would like to point out two proposals that I absolutely think must be accepted. The others are still very good to increase accountability and reestablish some semblance of trust. "Synthetic Short Positions: In addition, FINRA is considering requiring firms to reflect synthetic short positions in short interest reports. For example, enhanced short interest reporting could include synthetic
For firms with test candidates using company-issued equipment on their corporate networks to take their exams online, your firm's technology team should be consulted about what it will take to ensure that the ProProctor application will successfully run on the day of the candidate's exam.
Please note that Prometric's ProProctor application was not architected as an enterprise