I oppose this ruling. This will force many retail investors that are looking for leverage into more dangerous vehicles, such as futures and options.
I oppose adoption and enforcement of SEC Proposed Rule #S7-24-15. It unreasonable resists access to trading instruments.
I disagree with this proposed rule. This is another attempt to rig the markets and shut-out retail traders. This is totally absurd and corrupt.
This rule can lead to exploitation by high volume buyers and market makers. This will disproportionately affect retail investors
I oppose being regulated or restricted not being able to trade in securities that I want to invest in. I strongly oppose this ruling!!!
The Consolidated Audit Trail (CAT) section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
The Private Placements section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
The Market Access Controls section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Background
FINRA promotes the capital-raising process through appropriately tailored rules that are designed to promote transparency and to establish important standards of conduct for the benefit of all market participants, including investors and issuers participating in offerings.
There have been significant developments recently in the mechanisms companies use to raise capital through
NASD has filed with the SEC a proposed rule change to the Code of Arbitration Procedure to permit parties in an arbitration to communicate directly with the arbitrators if all parties and arbitrators agree, and to establish guidelines for such direct communication.
