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Edward Morrison Comment On Regulatory Notice 21-19

Short interest should have 100% reporting daily. T+2 gives an unfair advantage to hedge funds. There also needs to be transparency with synthetic shorts. They do exist and its also an unfair practice. Fines should exceed the amount of fraud or manipulation. Small slaps on the wrist do absolutely nothing. A 10 million dollar fine on manipulation that made a financial institution 80 million dollars does not discourage them from future violations. It encourages it.

2016049087201 Laidlaw & Company (UK) Ltd CRD 119037 John Coolong CRD 5924271 AWC va (2021-1628986806807).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016049087201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Laidlaw & Company (UK) Ltd. (Respondent) Member Firm CRD No. 119037 John Coolong (Respondent) General Securities Principal CRD 5924271 Pursuant to FINRA Rule 9216, Respondents Laidlaw & Company (UK) Ltd. and John Coolong submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 21-26

Summary

FINRA has adopted changes to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) to require members to file retail communications that promote or recommend private placement offerings that are subject to those rules’ filing requirements.1 The new filing requirements become effective on October 1, 2021.

The amended text of the rules is set forth in Attachment A.

James Nash Comment On Regulatory Notice 21-19

The way the stock market is set up for the larger entities to easily outweigh performance of the average retail trader is completely absurd. With stocks that are being massively shorted, much like Tesla (TSLA) was back a few years ago, and other stocks now like Gamestop (GME), AMC Theater (AMC) , Nokia (NOK) and many more, it allows such a distrust in the system for who can make money FAIRLY.

Charles James Desrochers Comment On Regulatory Notice 21-19

As someone who works in the film industry, particularly movie advertisement, it's crucial to my career, as well as the many others in my industry that theater companies are free to pursue their clearest path towards profit without external interference from market manipulation. Naked shorting is a direct threat to the entire industry and our jobs. Please consider implementing enforceable rules in which companies will keep a running tallie of their short positions, purchased via the exchange or otherwise.