As an independent investor, I find this potential regulation to be insulting and diminishing. Americans have a right to invest in securities and other financial products as they deem fit. Please do not take this harmful action against our freedoms.
In not in agreement how shorts are been managed and how SEC are filling rules and there’s no action to thw hedge funds that are shorting. The system is confrontating manipulation and needs to be addressed
Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Senate Special Committee on Aging
Sec. 1. In order that the Corporation may determine the members entitled to notice of or to vote at any meeting of members or any adjournment thereof, or to express consent or dissent to corporate action in writing without a meeting, or for the purpose of any other lawful action, the Board may fix, in advance, a record date, pursuant to Section 213 of the General Corporation Law of the
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT IS JULY 10, 1985
The National Association of Securities Dealers, Inc. is soliciting comments from members and other interested persons on a proposed amendment to Article III, Section 28 of the NASD's Rules of Fair Practice ("Section 28"), 1/ which would impose certain requirements on associated
Please do not limit the publics ability to invest in Pro Shares reverse index funds. This is a right of every person to decide on their own investment principles in action when weighing their risk. Thank You Ed Miller
Short interest reporting? What happened!!?!?!? Integrity is the virtue... Honest, accurate, and punctual short sale reporting is the action. We love you guys. Do the next right thing.
Do not, I repeat, do not, take any action that will restrict my ability to own shares in these funds. Investors can and will make educated decisions without your restrictions. Don't take that right away from us.
By Greg Ruppert, Executive Vice President, Member Supervision, FINRA
As a self-regulatory organization, FINRA is uniquely positioned to engage with member firms to understand their business models and provide them with timely, actionable insights and information. As part of FINRA Forward, FINRA is working to enhance how we support member firm compliance to better protect investors and safeguard markets, including strengthening the constructive feedback loop from FINRA’s regulatory programs to our member firms. Sharing information gathered through our regulatory programs can help member firms improve the efficiency and effectiveness of their compliance capabilities, understand how their compliance programs compare to other firms, and potentially avoid issues that might otherwise develop into compliance failures.
(a) General Requirements
Following the issuance of a complaint in a disciplinary proceeding, or the initiation of another proceeding, every filing of a Party represented by counsel or a representative shall be signed by at least one counsel or representative of record in his or her name and shall state the business address and telephone number of such counsel or representative. A Party
