Nobody should be telling people how to invest,people are responsible for their own actions
These are the actions of further financial control by the government. Do not allow this to take place.
Please do not take any actions to undermine my ability to invest
I oppose these actions which are going to take place. And to have an affect on these investments.
Not agree with the proposed action .it's unnecessary. Nothing is wrong with the current system.
SEC Approves Amendments to FINRA Rules 9231 and 9232 to Add a Category of Persons Eligible to Serve as Panelists in Disciplinary Proceedings
The fact that hedge funds can manipulate a stock with short selling stocks that are not even available is a crime that needs to be punished. This is not a new senerio but one that has been overlooked for a long time. Now millions of retail investors have realized the fraud and are demanding action. If this is not rectified the retail investor will pull out of the stock market as it is not a level
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On October 10, 1991, the Securities and Exchange Commission (SEC) unanimously approved four changes to the Small Order Execution System (SOES) operated by NASD Market Services, Inc. for Nasdaq securities.
CommentsThe definition of the term COMPLEX IS TO GENERAL LET AN INDIVIDUAL TAKE RESPONSIBILITY FOR THEIR OWN ACTIONS :
Effective Date: September 4, 1997
SUGGESTED ROUTING
Corporate Finance
Legal & Compliance
Syndicate
Executive Summary
On September 4, 1997, the Securities and Exchange Commission (SEC) approved an amendment to the definition of "qualified independent underwriter" in Rule 2720 of the National Association of Securities Dealers, Inc. (NASD®) Conduct Rules
