FINRA Revises the Series 55 Examination Program
FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them
08-50 - Procedures for Submitting Written Attestation of Bona Fide Market Making Relating to Fail-to-Deliver Positions
The FINRA rule is nothing more than an scheme to steal wealth, power, and autonomy from individuals. People have the intelligence and information necessary to make their own investments without regulatory tyranny. Stop it.
Stop adding these nonsense rules! Its stupid. Its against the law! Stop it. If you really care about investors, why didnt you propose this when the market was at all time high?????
SUGGESTED ROUTING*
Senior Management Legal & Compliance OperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Small Order Execution System (SOES) was created to allow public customers to enter orders of limited size into the NASDAQ System for immediate execution at the best available price. Section 3(c) of the SOES
Naked shorting is illegal. HAH. If only these rules were enforced. If only infinite loopholes didn't exist.
Transparency, Equality, Fairness, Expediency, and RULE enforcement All of these qualities MUST exist in a FAIR and OPEN marketplace.
I only have 1 comment. The SEC looks like a joke around the world. The rules are clearly not being applied.
Sirs- increased standards for qualified investors is one thing, making the precess to invest as one onerous is another. The proposed rules are onerous and seek to discourage investments by smaller qualified investors. Thank you
