To whom it may concern -- I am a fairly knowledgeable investor who looks to maximize my returns utilizing levered funds. I know the risks that go along with my investments and accept those. I do not see where FINRA ought to be involved in creating a nanny-state mentality to protect investors. There are more than enough regulations in the financial sector to cover investors. Additional regulation
Every investor should have access to the following data(In real time whenever available) -Updates on short interest data -Settlement on transactions - Failure to deliver data -Synthetic short data (so called naked shorts) -13F filings for short positions Additionally the following practices should be either be made illegal or become significantly more regulated * Single side dark pool trading
SEC Approves Amendments to NASD Rule 2711 and Incorporated NYSE Rule 472 to Conform to JOBS Act Requirements
<p>Cash rebates issued to pension plan customers with respect to secondary market transactions in outstanding securities (under former Article III, Section 24, now Rule 2740 and IM-2740).</p>
Yes all these disclosures are ok and show improvement. But what we need is bigger fines and penalties for those who breaks the rules and manipulating the market, yes Hedged finds and Broker platforms such as Robinhood. You need to say it’s enough and you can’t keep doing wrong stuffs. All these little fines recently changes nothing, someone is at fault and guilty, some people deserve to go to
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt: (1) temporary Supplementary Material .12 (Temporary Extension of the Limited Period for Registered Persons to Function as Principals) under FINRA Rule 1210 (Registration Requirements); and (2) temporary Supplementary Material .07 (
Hello, To whom it may concern, I request that with diligence and haste we implement blockchain technology to ensure a free market. In regards to voting on market practice and for t-0 trade transactions, a fundamental blockchain system would give us a streamlined and sufficient order flow to close the trading gap between market makers and retail. We are recklessly headed toward more financial
Hard working Americans, Retail Investors and those who were not born with a silver spoon only want two things: Transparency in the Stock Market and accountability. We need regulation bodies to hold those who perform malicious activity in the Stock Market accountable to their actions. Help restructure the system for a better and fair market! We are the people and we demand change! These past few
TO: All NASD Members
The Securities and Exchange Commission has approved amendments to Article III, Section 28 of the Association's Rules of Fair Practice and the amendments are hereby declared effective as of May 1, 1983. These amendments were previously approved by the Association's Board of Governors and by a vote of the membership.
Section 28 addresses the responsibilities of
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions) to exempt additional persons from the scope of the rules, modify current
