proposals are punitive to the investor .If there is no fraud what is the use of the restrictions .Information about the risk is all what is needed .
I am against the vote as an informed investor it is my choice knowing the risks associated with these products, if I want o invest or not.
Proposed Rule to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
This Friday – July 1, 2022 – will mark the 20th anniversary of FINRA’s Trade Reporting and Compliance Engine, known as TRACE to everyone in the fixed income industry and regulatory community. TRACE is FINRA’s real-time, over-the-counter price dissemination service for the fixed-income market, bringing transparency to the debt markets, including corporate and agency debt as well as asset- and
I am a retail investor and use leveraged ETFs for a portion of my portfolio. Before buying these leveraged ETFs, I did a significant amount of research to understand the risks. This included back testing how the funds would behave in different market and monetary conditions. I also read the prospectuses for the funds. All this information was available and provided sufficient information on the
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NASD Rule 2210
Executive Summary
NASD is proposing to amend
1. What specific FINRA rules should be a focus for modernization based on their economic costs and benefits; changes in markets, products, services, or technology; or otherwise? What groups of FINRA requirements should be a focus? Please include FINRA rules that may be mandated or derived from a statutory or other non-FINRA regulatory requirement applicable to FINRA or its members.FINRA Rule 3210
Question 1
Does FINRA Rule 3210 impose any requirement as to what specific information or data an employer member must review or monitor upon receiving duplicate copies of confirmations and statements, or the transactional data contained therein, with respect to an account subject to the rule?
Answer
No. FINRA Rule 3210 does not by its terms specify what specific information or data
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
