As a retail investor I cannot say I'm happy with the whole financial system with stock market. Everything we buy and sell is reported instantly. Our positions are transparent to any market maker or institution. All we ask for is full transparency on all transactions that occur in that trading day. In today's age we should be able to track and barcode every share that is available in a
It is elitist and violates freedom of choice to prevent an investor to do what he or she wants with his or her money, and why does FINRA pretend to know best, which is extremely paternalistic? The securities laws already preclude non accredited investors from participating in private placements, which provides more opportunity for the wealthy. All these preventative rules do that prevent is
For those who have an FPL account, is there a way in which we can view where the broker is getting the variable interest rate used? I have noticed is a fraction of what is reported from sources like fintel.io. Seems like there are many behind the scenes deals going on to allow for manipulation. If stocks are loaned out, then the interest rate should be able to have some reference of where the
Proposed Rule Change to Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperations*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On April 17, 1991, the Department of Treasury issued 56 FR 15529-15532 containing proposed amendments to 17 CFR Part 403 ("Protection of Customer Securities and Balances"). The proposal would implement a buy-
SEC Approves Amendments to TRACE Reporting Requirements and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related Fees
Dear FINRA, Keeping the Stock Market open to individual investors allows for the disadvantaged to leverage their weakness and make it a strength. America was built upon the strength of individuals.
FINRA provides these resources to assist member firms with managing and addressing potential risks and threats that may pose harm to their business, compliance programs and investors, including:highlights of recent risks observed in FINRA’s regulatory programs;observations from recent targeted exams (sweeps) on emerging industry issues and related regulatory obligations; andFINRA resources, that
Things like crypto and stocks should be available to the public it not only helps the companies but the markets as well. Everyone should have the right to invest in what they believe.
Please do not limit these types of investments. It is more important to stop Congress from investing in stock that stopping little people from wisely researching and investing!
