Hello, I'm sending this comment on behalf of the current situation of short sales being done within the stock market of AMC. As a new investor being affected by the current situation of the manipulation being held within the stock market, specifically AMC, it has been disheartening to see what's being done to the stock market. I've noticed throughout my time investing, I, along
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA Rule 4111 establishes an annual process by which FINRA designates as “Restricted Firms” member firms that present a high degree of risk to the investing public, based on numeric thresholds of firm-level and individual-level disclosure events.
(a) To compensate for minor variations in annual net income, the Board of Governors of FINRA may increase or decrease the total charges in this Schedule by 10% from the base charges as adopted on July 24, 2002 upon filing such change with the SEC pursuant to Section 19(b)(3) of the Exchange Act.
(b) To facilitate the development of new information services and uses under appropriate terms and
Ver en españolOmbuds is a term originating from Sweden and means representative. The International Ombuds Association describes an ombuds as “one who assists individuals and groups in the resolution of conflicts or concerns.”FINRA’s Office of the Ombuds is an independent, neutral, confidential, and informal resource for anyone with questions or concerns about FINRA, which regulates the U.S.
I am an adult capable of making informed decisions. Just think of all the tax revenue that you will lose. It will be in the Billions not hundreds of millions. Thanks, Eric Schodde
FINRA is highlighting a recent Federal Bureau of Investigation (FBI) Flash published on August 23, 2023. According to the FBI Flash, all exploited Barracuda Email Security Gateway (ESG) appliances, even those with up-to-date security patches, remain at risk for continued computer network compromise from threat actors exploiting a zero-day vulnerability documented in CVE-2023-2868.
Before buying these products, my brokerage house qualified me and informed me these products were for knowledgeable investors. That is all the regulation we should need.
I am an informed investor that believe public investments should be available to all of the public. Leveraged funds are a limited part of my portfolio that enhances my returns.
Do not limit my freedom to manage my own asset. Broker house has done due diligent to inform me about the risk. That is enough!
