Anything that could be done to increase simplicity in the rule book would be a huge benefit to the market. I AM NOT SAYING TO DECREASE REGULATION: I am advocating for an increase of regulation with incredibly simple language so that it is accessible to anyone. OVERSIGHT AND TRANSPARENCY SHOULD BE THE UTMOST AND ULTIMATE PARADIGM. Increase transparency on all positions, real and synthetic, long,
To Whom It May Concern, I believe FINRA themselves said it best in their proposal, "FINRA believes this information would assist FINRA in understanding the scope of market participants’ short sale activity, specifically regarding the use of less-traditional means of establishing short interest." My only question is why in the world has FINRA not required ALL short interest? Isn't
For firms with test candidates using company-issued equipment on their corporate networks to take their exams online, your firm's technology team should be consulted about what it will take to ensure that the ProProctor application will successfully run on the day of the candidate's exam.
Please note that Prometric's ProProctor application was not architected as an enterprise
It is absolutely shocking to me that, having ignored the egregious behavior by so-called advisors towards their clients (specifically because FINRA has NOT insisted they act as sworn fiduciaries), FINRA now wants to tell individual investors making informed decisions on their own what they can and cannot do. These are existing, publicly traded securities (vs things like PRIVATE REITS, SPACS, etc
Summary
FINRA has amended its Codes of Arbitration Procedure for Customer and Industry Disputes (Codes) to apply minimum fees to requests for expungement of customer dispute information, whether the request is made as part of the customer arbitration or the associated person files an expungement request in a separate arbitration (straight-in request).1 The amendments also apply a minimum process
To Whom It May Concern:
I am opposed to any limits on what I, or other American citizens, can invest in. While I appreciate the need for education and careful analysis, it is up to me to do my due diligence and make the final decision.
Certain types of investments should not be reserved only for people with high net worth or specific financial experience.
Instead of limiting my ability to invest
You have the benefit of the equivalent of insider trading information. Why should the public be restricted even more?
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former Goldman Sachs & Co. research analyst Brian Maguire for twice purchasing securities after he learned a fellow analyst was upgrading his recommendation in impending research reports and for lying to FINRA staff about his trading.
Jessica Hopper, Executive Vice President and Head of
Leverage has worked for me. Please stop taking good opportunities away from an informed investor
Please let investor select their own choice. Let investor know the product information and the included risks
