(a) Definitions
(1) Member Private Offering
A "member private offering" means a private placement of unregistered securities issued by a member or a control entity.
(2) Control Entity
A "control entity" means any entity that controls or is under common control with a member, or that is controlled by a member or its associated persons.
(3) Control
The term "control
I'm writing to request more transparency, fairness and accountability in our financial markets, as all of us rely on our regulatory entities for that assurance. There are some things that are of particular interest to me: 1. Transparency of Buy/Sell orders in the market as a whole, including but not limited to OTC/ATS off market trading. 2. Information market makers have when it comes to
Who is the [REDACTED] that came up with this regulation? Why is ANOTHER Government entity trying to take rights of FREE Americans away? VOTE NO ON SEC Proposal Rule #S7-24-15. Let's all do what we can to remove these communist regulators too!
I'm writing to request more transparency, fairness and accountability in our financial markets, as all of us rely on our regulatory entities for that assurance. There are some things that are of particular interest to me: 1. Transparency of Buy/Sell orders in the market as a whole, including but not limited to OTC/ATS off market trading. 2. Information market makers have when it comes to
Hello, I'd like to have a faster access to the Short Interest reporting, receiving the information after more than 2 weeks it was released it leaves the retail investor in disadvantage compared with big entities like MarketMakers, HedgeFunds and investment funds,
In USA everyone must have freedom to invest anyway they like, we dont need FINRA to block trades under the disguise of protecting investor. As investor everyone should understand risk of losing money, its individuals responsibility not some Government created entitys.
August 16, 2001In an effort to reduce the number of duplicate email files submitted to OATS, the system will now send back two emails to each firm that transmits FORE files via email. The first email simply notifies the transmitting entity that OATS received your email and will process your file. The second email continues to provide the status of the FORE file as we do today.Firms are asked not
What ever happened to the concept of individual responsibility? Why does government and quasi government entities think I/We are blithering idiots?
For the record: I am adult who understands risk. If I wish to invest in a high risk investment, That is my prerogative!
In short: IT IS NONE OF YOUR/GOVERMENT'S BUSINESS!!
I as an investor who regularly invests in leveraged and inverse funds do not need or want government intrusion regarding my investment choices. There are multiple private entities available that can provide much better, experienced based recommendations. Government involvement as usual, will only worsen the situation.
I am Pro-Choice in everything in this life!! No entity, person, or institution should have the opportunity or right to restrict or impact an individual's ability to choose how they invest their time and resources. That SHALL ALWAYS remain with the individual!!
I DO NOT need anyone to make decisions on resources they did not help me acquire.
