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Benjamin Moroni Comment On Regulatory Notice 21-19

As a “retail investor”, which is a term I hate, the actions of Wall Street “professionals” over the past 6 months or longer has been eye opening to say the least. As a 43 year old man with a Bachelors degree in finance, who has taken classes on investing, stocks, mutual funds, options, bonds, and various other securities I always knew that I wanted a professional to manage my portfolio and 401k because of all the complications and loop holes that existed. That was until Jan 27th when I heard about GameStop. A company that my kids and I shopped frequently.

Shawn Polivoi Comment On Regulatory Notice 21-19

Good afternoon, I am not very educated in the stock market and rules governing the actions of parties. However, I know that Naked Shorting is likely illegal and it seems that this has been happening with this merger between MMAT and Torchlight (TRCH). It's also unfair that so much shorting activity can be done secretively. There should be requirements for cooperations shorting to declare themselves. Fintel and Ortex data shows huge numbers of short shares. My brokerage (WeBull) has taken a very long time in providing the Preferred Stock Dividend.

Ben Roberts Comment On Regulatory Notice 21-19

I'm afraid these changes do not go nearly far enough. While additional and more timely information is certainly appreciated, I believe what we need is for all short sales to be reported similar to the availability of Level II data. That is, every short sale should have to be recorded and immediately posted with the loan terms, where the shares were loaned from, and through which market it was processed. I also believe that the identity of the fund or the broker should be disclosed.

Anonymous-RR Comment On Regulatory Notice 21-19

Would you please stop acting like any of your new rules are going to do anything. New penalties, including jail time, need to be implemented. As of now you are being insulting and ignorant. The slap on the wrists continue=the crimes still continue. You are asking the very people breaking the laws to report to you that they are breaking the law, instead they file false report after false report, suppress price action, manipulate the press, this is RICO territory, and you know this. Do your jobs. I will be filing a complaint with the FBI.

Johnathan Kim Comment On Regulatory Notice 21-19

What good is regulation if there is no enforcement? For far too long, market makers and institutions have been playing the game with their own rules whilst stealing money from the American public. How can this possibly be a free market with the lack of transparency and open manipulation that occurs in the stock market every day for the past several decades? There are a number of things that need to be fixed or addressed in order for retail investors to have any semblance of faith in the U.S. stock market again. 1.