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Dr. Matthew R. White Comment On Regulatory Notice 21-19

This was my comment: The Reporting of Loan Obligations as Short Interest. Theory suggests that some participants are borrowing shares from ETF's to cover their existing short interest. This only results in the same exposure continuing to exist elsewhere in the market, in effect, the short position has not been closed, but rather, is moved off the books which affects the integrity on both ends of the affiliate program.

2018057162401 Alpine Securities Corporation CRD 14952 AWC sl (2021-1625790022304).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057162401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alpine Securities Corporation (Respondent) Member Firm CRD No. 14952 Pursuant to FINRA Rule 9216, Respondent Alpine Securities Corporation 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 on the condition

Josh Blanchard Comment On Regulatory Notice 21-19

How are we (the public retail) supposed to believe any information reported is accurate, when fines for breaking any rules take years to resolve and are minuscule when compared to the money that is being made off of defrauding the little guy? When the people lying are friends with the people who are supposed to keep them in check, all it takes is a little kick back to make it all go away. Lame or not "Who watches the Watchmen?"

Luuk Blum Comment On Regulatory Notice 21-19

I support a far more rigorous disclosure regime when it comes to Short Sale Reporting. As a non-American investor I've been shocked by the harm blatant naked shorting does through rigged financial markets and hopeless under-regulation. If large scale changes won't happen my trust in the American financial markets will not return. In that case I'll never invest again and will spend my time explaining how the markets squeeze money out of people, and set humanity back by naked shorting companies like Viagren stopping cancer research.

Ashton Parker Comment On Regulatory Notice 21-19

Naked shorts are illegal. They have always found a way around all the SEC regulations and rules. Dark pools, sending stocks to OTC and other countries so the sec cant keep track. letting a human report is always going to lead to lies and illegal activities. the fines are chump change for them. Jail, losing the right to trade. They are children, and like children, you can tell them 15 times not to do something and if there are never any real actions, they dont take you seriously. the dtcc, finra and sec are jokes to all on wall street.

Matt Comment On Regulatory Notice 21-19

Good Evening, I support these changes. I’ve have experienced the consequences of not having these rules in place and had lost a lot of confidence in investing in the financial system. Not having these changes in place also make me worry about a complete collapse of the financial system. These proposed changes have restored a lot of my confidence. Please implement these changes as soon as possible. Thank you!

Justin Duty Comment On Regulatory Notice 21-19

It is necessary that there be confirmation when positions are closed. It is currently way too easy for holders of short positions to kick the can and hope the company that is the focus of the short goes bankrupt. You need to start supporting the action of jailing those that are responsible. Fines are nothing but a cost of doing business and everyone knows it. People need to be held accountable.

Bruce Szczechowski Comment On Regulatory Notice 21-19

I am a "retail investor" who has been aware of naked shorting for over 10 years, being invested in Inovio Pharmaceuticals, one of the most shorted stocks in the market. The manipulation of the share price over the years has been criminal. As stated on your website, "FINRA is authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly." When are you going to start taking this mandate seriously and do your job?