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Racquel Russell is Senior Vice President and Director of Capital Markets in FINRA’s Office of General Counsel (OGC). In this role, Ms. Russell oversees the Capital Markets Office as it develops new policy initiatives, provides counsel to the Department of Market Regulation and Transparency Services, and supports the fixed income examinations of the Member Supervision Department. She also provides expert guidance to the FINRA Board of Governors and senior management.
Lisa Horrigan is Senior Vice President and Chief of Staff for FINRA Market Regulation and Transparency Services (MRTS). Ms. Horrigan oversees a broad range of operational, regulatory and business planning activities for MRTS. She also advises and provides strategic support and direction to the Executive Vice President and senior leadership team to further enhance the department’s regulatory effectiveness and efficiency.
As Senior Vice President – Strategic Regulatory Engagement, Alex Ellenberg is responsible for providing guidance, counsel and analysis to the leadership team and various Market Regulation and Transparency Services (MRTS) groups regarding a wide variety of strategic, operational, regulatory, risk and compliance functions and activities. He also supports and provides strategic risk analysis to the MRTS team in connection with FINRA’s participation in the National Market System Plans, including the Consolidated Audit Trail and Securities Information Processor Plans.
Please apply rules for better transparency and competition in the stock market. Investor will invest more if they believe in the system. Right now it is questionable.
Beyond belief this is happening day in day out, and is being ALLOWED to continue! Where is the enforcement? Where is justice for all? Where is basic human morality! ? The United States hierarchy is a joke, the world looks on in disgust!
The idea of a "fair" market is completely a figment of peoples imagination at this point. The corruption and "loop holes" that exist to allow the Rich to continue to get rich off the backs of the working average citizen is sickening. The stock market and corruption is rampant amongst banks, hedge funds, market makers, and politicians and government departments. The "connections" are blatant and the clear "turning a blind eye" to it is appalling. The market isn't even worth investing in or listing your company with as it is so easily manipulated by market makers.
increased reporting requirements around the currently broadly abused short selling practices in the stock market (including naked shorting, mis-reporting longs as shorts, re-hypothecated shares, married puts/calls, and fails to deliver) are a step in the right direction, the proposed changes do not go far enough to provide transparency and fairness to the public.
I think this marks one of your last chances to be on the right side of the fight. On the one side you have the institutions that collapsed the entire economy back in 2008 and are looking to do it once again simply for their own greed, using ILLEGAL practices in the forms of float dilution via synthetic shares and PFOF routing to darkpools, and on the other side you have the retail players who are trying to hold their own in this corrupt market.