Minor Rule Violation Plan
Regulatory Notice
Notice TypeRule Amendment
Referenced Rules & NoticesNASD IM-9216
NASD Rule 9216
NYSE Rule 476A
SEC Rule 19d-1(c)(2)
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Senior Management
Key Topic(s)Minor Rule Violation Plan (MRVP)
Executive Summary
Effective September 24, 2007, the list of violations eligible for
I am 67 and semi retired, I have to work part time to make some extra cash so my bills can get paid. Have work steady since I was 16 and have raised my family and now take care of my 89 year old Mother. I have just recently had a few extra $$ to invest in some stocks to try and get ahead. In my studying it has come to my attention that the stock market is run by a bunch of crooks that steal
How can the hedge funds/MMs continue to illegally push the share price down using fake shares in dark pools outside the eye of the public and then kick the interest can it costs to do that down the road indefinately? Retail investors are getting screwed over by hedge funds at every turn and SEC is allowing the illegal manipulation to happen. What good is interest if it never gets paid? The US
Proposed Rule Change to Adopt FINRA Rule 4554 (Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks)
There is a ton of malpractice going on in AMC’s stock as you know from the hedge funds and market makers. A good start would be doing away with dark pool trading. Thanks for any help in the future.
I have invested in various ProShares stocks for more than 7 years. I fully understand the risks. Currently, my investments in ProShares products are a small percentage of my overall investments. I would like to continue to invest in ProShares products.
Read CEO Robert Cook’s email to firms previewing topics the Board is scheduled to discuss at the September 2024 FINRA Board of Governors Meeting.
No reason to tax something that is not talking away from the old box style money generated funds like stock market. As it does not take away from Big Federal Government. Keep your hands off [REDACTED].
I have been a long investor in leveraged etf for 3+ years. I dont want to be required to pass tests to continue investing in it. And if people put money into it they should be prepared to lose it whether its leveraged etf or stock as I have.
Had I not been able to invest in PROSHARES TRUST II my net worth would be less. I see NO difference investing in it compared to stocks that fluctuate such as TESLA,RIVIAN ETC. WE DON'T NEED ANY MORE GOVERNMENT REGULATIONS.
