To Whom It May Concern,
I am an educated, responsible, tax paying citizen of the United States that has been investing my hard earned money
in various securities for more than 40 years. I read and study financial information on a daily basis, and have been subscribing to numerous financial publications for many years. I take exception to the fact that government regulators continue to attempt to
One of the best parts of a free society is the ability to make your own decisions and none more important than financials ones. I have been investing for over 30 years and the ability to do that and to choose my investments has resulted in my financial independence. I am not a trader, I am a long term investor and holder of leveraged funds. I am my own advisor and do my own research and I
Companies that use Fortinet’s FortiManager product could be exposed to a remote, unauthenticated attacker executing arbitrary code or commands due to a critical product vulnerability (CVE-2024-47575), according to two recent alerts from the Cybersecurity & Infrastructure Security Agency (CISA).
FINRA announced today that it has appointed Bill St. Louis as Head of Enforcement, effective immediately. St. Louis, an Executive Vice President, was most recently head of FINRA’s National Cause and Financial Crimes Detection Program (NCFC). St. Louis will be responsible for the management of approximately 350 enforcement staff in 11 offices across the United States and will report directly to FINRA President and CEO Robert Cook.
Aloha. Mahalo for doing the best to your abilities to protect American citizens without infringement on their freedoms and financial success. We are at an inflection point moving from the old financial system into a new financial system. The decisions you and your peers agree upon has potential impact on 100s of millions of lives. Let's make sure your team and the American population is
Comment Period Expires May 31, 1999
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This proposed legislation makes no sense to me. Every investment caries risk. In fact, most stocks are a poor investment choice. Right now even the PURCHASE OF A HOME is probably a terrible investment choice. Nevertheless, as a citizen I am under the impression that it is still my right to make my own choices regarding how I invest my money.
I think it is absurd to presume that only a "
Comment Period Expires February 15, 1995
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Executive Summary
The National Association of Securities Dealers, Inc. (NASD) requests comment on proposed amendments to the NASD Rules of Fair Practice to adopt rules governing broker/dealers operating on the premises of financial institutions. The proposed rules
FINRA should provide daily updates on short interest and failure-to-delivers. If that isn't feasible, then at minimum a T+1 timeframe should be implemented. Rampant naked shorting along with a financial toolbox that favors large institutions goes against what a free market is all about. As a retail Investor, I do not have the same means or access to the types of information that larger
