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Anonymous-RP Comment On Regulatory Notice 21-19

I appreciate many of the actions that are listed. Requiring funds to post their short positions (whether synthetic or other) should absolutely be mandatory. The lack of transparency only creates opportunities for these funds to create illusionary positions and to skirt regulatory requirements. The greater the transparency these funds are required to maintain the greater the benefit to both regulatory bodies and individual investors. The only real issue that carries on regardless of any proposed changes is accountability. There are currently barely existent operations in terms of recourse.

Retail Shareholder Comment On Regulatory Notice 21-19

As a retail shareholder and investor (equities and options) in multiple companies such as Tesla, Gamestop, AMC, along with the typical ETFs tracking the broader market I feel that we have not been well served by the current rules and system. The lack of transparency, limited reporting, and massive loopholes like synthetic short positions and loan obligations not being required to be reported in its current form is extremely troubling. How can the SEC and FINRA possibly ensure Reg SHO is being followed with so little data, and all data the is self reported no less?

2019064316401 Citigroup Global Markets Inc. CRD 7059 AWC sl (2021-1626394817497).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064316401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc. (Respondent) Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216, Respondent Citigroup Global Markets Inc. (CGMI) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063526901 Marc Augustus Reda CRD 2757330 Complaint rjr (2021-1626481214181).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Marc Augustus Reda (CRD No. 2757330), Respondent. Disciplinary Proceeding No. 2019063526901COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2017 to December 2019 (the "Relevant Period"), while associated with Spartan