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Kyle S. Comment On Regulatory Notice 21-19

The real question is: why were these not already in place?! Yes. To all these items. I’m addition, any darkpool sale needs to have a reason submitted to FINRA for approval before a DP can be used for a sale. The darkpool was created so that massive institutional buy/sell orders did not damage the market. Now it’s simply used to hide transactions from the market. This must stop. Regulate to ensure it is being used for the correct purposes and eliminate darkpool corruption.

Jeff J Comment On Regulatory Notice 21-19

Increased visibility into market activity. Retail investors cannot be kept at a disadvantage to institutional investors. It's not a fair market if we aren't playing the same game, with the same tools and the same information. Dark pool trading needs to be limited to specific use-cases if not removed entirely. No high-frequency trading. Short positions should be disclosed and those positions need to be closed out in a timely manner, no kicking the can down the road indefinitely.

2017054317401 Douglas Edward Szempruch CRD 4159318 AWC jlg (2021-1628727759204).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054317401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Douglas Edward Szempruch (Respondent) Former General Securities Representative CRD No. 4159318 Pursuant to FINRA Rule 9216, Respondent Douglas Edward Szempruch submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted