I urge FINRA to continue to protect the right of choice in how to best protect our investment portfolios in order to help achieve long-term financial security. My fear is that regulations could be too broad and difficult to interpret and therefore, Unworkable: The definition of complex products is so broad, arbitrary and vague that it could ensnare a vast number of commonly used public securities
SEC Proposed Rule #S7-24-15 I vehemently oppose restrictions to my right to invest in public investments. I am able to chose the public investments that are right for me and discuss with financial advisor as needed. These investments should be available to all of the public, not just the privileged. There shouldnt be any special process like passing a test before investing in public securities
I believe in the public's ability to research and invest and not be hindered by yet more regulation and restrictions. The individual is slowly being pushed out of the ability to make investment decisions. Many financial advisors are mandated to create a client risk profile and that results in the individual having very little room to make adjustments. Allowing ever-larger advisor groups to
Hi, Please solve all the [REDACTED] regarding naked short sales, darkpools, FTD's, short ladder attacks, marketmakes and hedgefunds beeing owned by the same entities and so on. There needs to be proper punishment not just a slap on the wrist 12 years later with a fine that represents lunch money. The entirety of the US financial system is being dragged through the mud, the trust, reliability
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed changes to the Private Placement Filer Form (“Filer Form”) that members complete when submitting private placement filings under FINRA Rules 5122 (Private Placements of Securities Issued by Members) or 5123 (Private Placements of Securities).
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 0180, 4120, 4210, 4220, 4240 and 9610 to clarify the application of its rules to security-based swaps (“SBS”) following the SEC’s completion of its rulemaking regarding SBS dealers (“SBSDs”) and major SBS participants (“
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As of January 26, 1995, the following 19 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,747:
Symbol
Company
Entry Date
SOES Execution Level
CAFI
Camco Financial Corp.
12/30/94
200
TLMDA
Telemundo
Fair Play. I don’t think a hedge fund should be involve in market maker ( conflict of interest) . Privilege to have first hand information. Short positions must be disclosed. Media should be regulated, they are not financial advisor. They can’t tell people what to buy or what to forget. And the most important. Laws and rules must be followed. Institutions must act accordingly , the employees of
I would like to See ALL Data daily regarding short positions. How is it that high frequency trading can be programmed to carry out millions upon millions of short transactions daily, but not able to simply submit data regarding those positions. They should be submitted daily along with darkpool positions. Transparency needs to become 100% as this will also help keep markets more honest because
