STOP MAKING RULES VIOLATING PEOPLE'S RIGHTS! MY MONEY MY CALL!
I, not regulators, should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged.
I shouldn't have to go through any special process like passing a test before you can invest in public securities, like
In a fair and open market there should be transparency and a level playing field for all investors. Right now, there is a massive deficit in access to information, trade speed, preferential terms and types of trades, and pay-to-play investing that heavily favors institutional investors over retail investors. Additionally, institutional investors engage in relationship-based, illegal, or near-
Hello, I am writing to oppose restrictions on leveraged index funds. I invest in leveraged index funds. I know that leverage entails greater risk. However, I feel that it is important for investors like me to be able to make our own decisions regarding these instruments. Personally, I look at the past performance of the fund and the index before making my decision. I also consider my own risk
The lack of regulation and accountability from governmental security agencies allowing hedge funds to manipulate markets through various tactics like synthetic shorting is nothing short of financial treason against the American people. To allow these large privately owned institutions the ability to cheat and pray upon average American citizens and investors is an absolute mockery of the
I support a far more rigorous disclosure regime when it comes to Short Sale Reporting. As a non-American investor I've been shocked by the harm blatant naked shorting does through rigged financial markets and hopeless under-regulation. If large scale changes won't happen my trust in the American financial markets will not return. In that case I'll never invest again and will spend
I don’t know a ton about finance or the stock market. I know less about options and derivatives (I did watch a PBS program about Brooksley Born once) and that is all I really knew on the matter. But I’m learning more every day and the more I learn the more I’m convinced that there is perhaps something rotten in the DTCC, SEC and FINRA… to name a few. It seems financial regulators refuse to do
Summary
On November 8, 2021, FINRA will cease operation of the OTC Bulletin Board (OTCBB)—a FINRA-operated inter-dealer quotation system—and delete the OTCBB-related rules from the FINRA rulebook.
Questions regarding this Notice should be directed to:
Chris Stone, Vice President, Transparency Services (TS), at (202) 728-8457 or by email; and
Randy Rivera, Director, TS, at (212)
Summary
The NAC has revised FINRA’s Sanction Guidelines to incorporate a new guideline for violations of the Consolidated Audit Trail System (CAT) industry member compliance rules.
The revised Sanction Guidelines are effective immediately and available on FINRA’s website.
Questions concerning this Notice should be directed to:
Alan Lawhead, Vice President and Director – Appellate Group,
To whom it may concern, As a new retail investor, I want to see more transparency in our markets. I've learned that big financial institutions are abusing their privileges given to them; most notably their use of dark pools and naked short selling. An effective way to earn back the trust of retail investors is to put these often illegal practices on the forefront so we can find out what is
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Executive Summary
The Securities and Exchange Commission (SEC) has approved changes to Rule 17a-5. This rule authorizes the designated examining authority (DEA) to grant or deny requests from broker/dealers for extensions of time to file their FOCUS and audited annual financial reports. Also, these
