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Chairman Sarbanes, Senator Gramm, Members of the Committee, thank you for this opportunity to testify on the vital, troubling and timely issues of investor protection and accounting regulation revealed by the collapse of Enron.
The use of dark pools as a tool for price suppression is overwhelmingly clear. Market manipulation is actively taking place and the free reign of large organizations to process transactions off-exchange is essentially cheating the system. Additionally, there is basically no real, enforceable regulation on the shorting of stocks. Through aggressive shorting, powerful entities can drive many
Accessing the Form
If you have credentials for a FINRA system, you do not have to create a new account — you can use your established credentials to access the Rule 2080 Waiver Request Form.
Attorneys can use the same credentials used for the DR Portal.
Current and former registered representatives can use the same credentials used for FinPro.
Broker-dealer firms requesting a waiver on behalf
(a) Each member shall synchronize its business clocks, including computer system clocks and mechanical time stamping devices, that are used for purposes of recording the date and time of any event that must be recorded pursuant to the FINRA By-Laws or other FINRA rules, with reference to a time source as designated by FINRA, and shall maintain the synchronization of such business clocks in
During its March 6 and 7 meeting, the FINRA Board of Governors approved a rule proposal to lower the age at which parties qualify for accelerated arbitration processing and approved the allocation of prior-year fine monies.
I strongly oppose any restrictions on investing in leveraged and inverse funds.
The public should be able to decide where to invest OUR money. I am a small investors and making these products only available to just the "privileged" is just another example of the unfairness in the current environment of our economic system.
As a small investor I am completely able to understand
I strongly oppose any restrictions on investing in leveraged and inverse funds.
The public should be able to decide where to invest OUR money. I am a small investors and making these products only available to just the "privileged" is just another example of the unfairness in the current environment of our economic system.
As a small investor I am completely able to understand
INFORMATIONAL
Fixed Income Transaction Reporting And Dissemination
Effective Date: 180 Days After Publication Of TRACE Technical Specifications
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Operations
Senior Management
Technology
Trading
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) today announced that it has fined SMH Capital Inc. (f/k/a Sanders Morris Harris, Inc.) of Houston, TX, $450,000 for failing to adopt adequate supervisory procedures and systems designed to address its prime brokerage and soft dollar services to hedge funds. As a result, SMH made improper payments of $325,000 in soft dollars to
Regarding Regulatory Notice 22-08, I am submitting my comments opposed to this proposed regulation. Limiting access to inverse and leveraged ETFs is unnecessary and only reinforces public opinion that the 'system is rigged' against the retail investor.
I have used these ETFs for short-term positions and have found the disclosures and warnings about these issues to be clear