By implementing rules that are so easily maneuvered you’re at best turning a blind eye to naked shorting (fraud) and at worst facilitating fraud and the demise of the trust in American Institutions.
I respect the right of regulators to watch out for retail investors, but I do not need you to limit my access to leveraged financial products. Similar to PDT rules, these are impotent and silly regulations. Please reconsider your decision to pursue this course of action.
Exemptive relief is granted based on the following considerations: (1) Name was not an MFP at the time the Contribution was made and was not involved in the solicitation of new municipal securities business; (2) the Firm took action once it became aware of the Contribution by instituting a self-ban on new City municipal securities business; (3) the Firm notified Name of her designation as an MFP and the accompanying restrictions; (4) the Firm has agreed to establish information barriers to help ensure the segregation of information flow, minimizing the potential for quid pro quo resulting from the Contribution; (5) the Firm represents that it has corrected the technical political contributions database problems and has established new procedures for direct notification to legal and compliance personnel of additions to the Parent Management Committee; and (6) although the Contribution has not been returned, the Firm represents that reasonable efforts have been made to obtain the return of the Contribution.
Proposed Rule Change to Revise the Series 55 Examination Program
Proposed Rule Change Relating to the Operation of NASD's Alternative Display Facility as a Temporary Pilot
I oppose FINRA dictating regulations on me. I have vern investing over 30 years, and they have no business trying to make it more difficult for me, a Retired woman to invest in whatever I choose.
Please fo NOT impose extra rules on us.
I oppose of any rules or regulations that would prevent me of my right to invest my money into investments of my choosing. This is America. And I think people should start acting like it they know it. Freedom and Liberty.
That's what we stand for.
Enhanced reporting on short sales in a timely manner is long overdue. These new rules can and will create a healthier market, far from perfect, but better than yesterday.
It is the right of the people to decide how and where to spend and invest their dollars. This was not and should not be the job of the federal government.
The proposed rule limits access to investments and and gives more power to unelected bureaucrats. I oppose these restrictions on the right of myself and others to invest freely.
Our investments have been individually designed by each investor over decades. You must not restrict or alter the way we conduct our business. We need freedom, not rules to constrict us. LEAVE OUR INVESTMENTS ALONE!
