Proposed Rule Change to Adopt FINRA Rules 6434, 6437, 6450 and 6460
Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Limited Representative – Investment Banking (“Series 79”) Examination Program
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MAIL VOTE
EXECUTIVE SUMMARY
Members are invited to vote on a proposed amendment to Article V, Section 1 of the NASD Rules of Fair Practice. The amendment would exclude from the rule the requirement that
My comment on the rules is to actually enforce them. Honestly, take a look at obvious naked short selling and market manipulation. We the people have lost trust in a "free" market.
More regs are not necessary except on margin. Leave the small retail trader alone. The market is fixed enough by all the large players. You might want to regulate so called stocks such as DWAC. That is where the criminals are. Leave the traders alone with your rules. Not needed.
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Senior Management
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Executive Summary
The NASD has filed with the Securities and Exchange Commission (SEC) a proposal to amend Article III, Sections 26 and 29 of the NASD Rules of Fair Practice to revise existing rules applicable to the sale of investment company securities and establish new
WASHINGTON—FINRA announced today that Jessica Hopper plans to leave FINRA on February 3, after an 18-year tenure culminating in her leadership of the Department of Enforcement. During her time as Head of Enforcement, FINRA brought numerous significant disciplinary actions to protect investors and markets, including its largest-ever enforcement action; prioritized returning money to harmed
FINRA - RE Proposed Rule #22-08, kindly kill it. As a ProShares EFT investor, let the free market work without the over-regulation like what you are proposing. It is obviously driven by the "Woke Crowd" and has no place in America's financial markets.
James Ferguson
Long Time Investor
I currently enjoy my right to choose my own financial investments. I don't want to go through a special process to invest in securities that I am fully capable of understanding. Please leave this alone and don't change anything or add any new rules for investment in these leveraged funds.
Proposed Rule Change Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours
