Dear Overactive Regulators -
I'm a big boy. I can read a prospectus. Please don't place any further obstacles in my path as I attempt to navigate the toxic economic environment the government has created. If you want to restrict the actions of people who do not have a basic understanding of economics and financial markets, please start with Congress. It is a target rich
Every time when regulators thinks that they can make better decisions than individuals - they are wrong. By taking away the individual the opportunity to learn from its own mistakes - you promote lack of responsibility, lack of need to think and responsibility for its own actions.
Leave my options to participate in leveraged transactions, if I can have a mortgage I can make these decisions.
Visual representation. A lot of those who are not versed in finance and investments have a hard time visualizing investments and what the “outcome” of a specific action or rule would look like. Finding ways to compare to real life events, not related to investments, is a way for new investors to correlate new investment knowledge to prior experience.
We don't need your help. anyone who trades should be responsible for their own actions. These ETFs are not complex, individuals just fail to take the few minutes to read the information that each ETF provider is required to provide. Retail investors don't need your protection because we are so stupid and unable to understand "complex" ETF's. Thanks for
FINRA’s NAC Revises the Sanction Guidelines
INFORMATIONAL
Temporary Cease and Desist Orders
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Cease and Desist Proceedings and Orders
Executive Summary
On May 23, 2003, the Securities and Exchange Commission (SEC) approved an NASD proposed rule change that gives NASD the authority to impose and
I would like to see Short interest not be self reported anymore and for it to be reported from regulators such as Finra or the DTCC. If no such action is possible, I would like to see harder fines for misreporting Short Interest, especially if it is a bigger institution as to smaller investors, the fine does not seem harsh enough to get those to stop misreporting short interest
It is necessary that there be confirmation when positions are closed. It is currently way too easy for holders of short positions to kick the can and hope the company that is the focus of the short goes bankrupt. You need to start supporting the action of jailing those that are responsible. Fines are nothing but a cost of doing business and everyone knows it. People need to be held accountable.
SEC Announces Approval of Amendment to NASD's Minor Rule Violation Plan (MRVP) to Include Failure to Timely Submit Amendments to Form U5
Regulators should not be able to limit which investments are right for me or my family. It is not the government's role to determine what is best for me. I am responsible for my actions and take full responsibility for all investment decisions and strategies that I may take. Please stop trying to save us from ourselves and, by doing so, denying us freedom of choice and access to
