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Anonymous Comment On Regulatory Notice 21-19

I have been trading stocks for the better part of 8years, I feel like we need the utmost transparency with regards to short interest data. I do not understand how a stock like AMC keeps getting hammered down or trades sideways on good news as well as millions of investors holding and buying more on the dips. There is definitely something sketchy going on, and unless there is more transparency I will be sceptical about making investments with my hard-earned money.

James David Coker Comment On Regulatory Notice 22-17

Sir, While I appreciate the level of market transparency you are trying to achieve by implementing rules that speed up the price reporting process, I question the benefit that market participants will enjoy by shortening the reporting time frame from 15 minutes to 1 minute. I think this is especially the case with smaller trades done typically by retail investors. Our firm usually does government bond trades (i.e. Treasury Bills) as a service to our retail customers. We do not charge a markup or commission to execute these trades for those customers via our clearing firm.

2021072260201 Jared Winston CRD 7025143 AWC va (2022-1666225226270).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072260201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jared Winston (Respondent) Former General Securities and Investment Company and Variable Contracts Products Representative CRD No. 7025143 Pursuant to FINRA Rule 9216, Respondent Jared Winston submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.