What is the point of a regulatory authority if not to enforce rules and protect the consumer? Rules are made for the betterment of society, not as a way to placate the masses of thinly veiled corruption. The best time for action was before 2008. The second best time is right now. Enough is enough.
I am very much opposed to proposed rule #S7-24-15. As an active investor I strongly object to any legislation or rulings which impede my ability to invest in vehicles which I deem beneficial to me. If we limit or prevent our economic freedoms , our political freedoms will soon be limited as well.
this rule is anti-competetive and unfair to the smaller retail investor. I strongly oppose it and its unfair restrictions it would pose to me as an individual investor. Please do not implement this rule in its current form. People like me have the right to make investment decisions as we see fit with our own money.
NASD has filed with the SEC a proposed rule change to amend NASD Rules 1014 and 1017. The proposed amendments to Rule 1014 would clarify the current standards of membership admission by specifically identifying as a decisional criteria the existence of unpaid arbitration awards or other adjudicated customer awards, as well as pending arbitration claims, and expand the application of Rule 1014 to
To whom it may concern at FINRA,
It is my understanding that you are considering adding more regulations and rules to certain kinds of investments. I ask that you Do Not do this. While I understand certain rules and regulations have their time and place, I can see no reason why additional regulations are needed in this particular case. Not only would they be a burden to the average investor, they
NASD has filed with the SEC a proposed rule change a proposed rule change to amend NASD Rule 2260 to expand the definition of "designated investment adviser" to include all state registered investment advisers.
SEC Approves New FINRA Rule 5122 Relating to Private Placements of Securities Issued by a Member Firm or a Control Entity
I am against the FINRA Proposed Rule #22-08. Under the long-standing disclosure-based system, investors have the right to decide which public equities, bonds and funds they want to buy. Rule #22-08 upends that principle, giving regulatorsnot methe power to decide what public securities I can and cannot invest in. Investors have the right to freely access the entirety of the public securities
Proposed Rule Change to Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices)
WASHINGTON—FINRA announced today the appointment of Stephen Luparello as a public governor on its Board of Governors.
