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Patrice Gliniecki is Senior Vice President and Deputy General Counsel. In this capacity, she manages FINRA’s Office of General Counsel’s Regulatory Practice and Policy Group, which is responsible for the rulemaking and interpretive functions for the organization. She also serves as the Chief of Staff of FINRA’s Chief Legal Office.
Prior to joining FINRA in 1999, Ms. Gliniecki worked for six
Comments:
Dear FINRA,
The imposed regulations are disgraceful and a preposterous way of protecting investors from leverage. From a private investors perspective it looks like another malicious attempt to gate-keep new investors from the market. If your concern is protecting investors from over leveraging themselves than let them learn through experience rather than barriers. Simply put, these
I am opposed to FINRA restricting my ability as a private citizen to purchase securities that are currently available and may continue to be available to institutions. I doubt the funds would go away they would just be blocked for retail and available for insiders once again tipping the scales in favor of the market makers. These funds help to take positions without using margin or assuming
Hey [REDACTED], I know your plan, regulate this so the market prices crash, let institutions but and then sell for sky high prices. This way they can book profits and you [REDACTED] can get taxes by 4/15 next year to pay for all the expenses incurred [REDACTED] in the WH. The American public is much smarter than what they used to be. [REDACTED] first go and implement this [REDACTED] in the WH [
I wish to tell you in the strongest possible way that I am absolutely apposed to the government telling me or my family how to invest my hard earned money in public investments, especially inverse public securities. I have used inverse funds for years to protect my portfolio against major downturns like we are experiencing right now in the market. They are an important hedge against irrational
Comment Period Expires: September 29, 1997
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In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests public comment concerning the potential benefits to investors of allowing the presentation of
I fully support this proposed rule change and additional rule regarding short position reporting. Additional rules to protect investors, especially retail investors, should be explored on this topic as well as other issues such as order flow prioritization, block share lending, and ability to dictate exchanges for orders to be sent to. How is it possible for >50% of the daily trading
A member firm may include related performance information in institutional communications concerning Section 3(c)(1) Funds, subject to the stated conditions discussed in the letter.
SEC Approves New Supervision Rules
Chairman Sarbanes, Ranking Member Gramm, members of the Senate Banking Committee, thank you for this opportunity to testify today on the vital, troubling and timely issues of investor protection and accounting highlighted by the collapse of Enron. It would be hard to overstate the human tragedy for Enron’s employees, pension-holders and investors caused by the failure of America’s seventh largest company.