I understand that a key investment vehicle that I use in management of my portfolio may be restricted by the proposed rules. I hope that I and other individual investors will not be restricted by these changes. Many of the systems and trading rules advantage big investors while small investors are unable to achieve the scale or resources to obtain these benefits.
Please don't restrict
It shouldn't be the powers to be making the rules
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Executive Summary
On June 22, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2210 (Communications with the Public) that permit the approval of research reports by a
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 1022 (Categories of Principal Registration), NASD Rule 2220 (Options Communications with the Public) and NASD Rule
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt new Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision) that would align FINRA’s definition of an office of supervisory jurisdiction (“OSJ”) and the classification of a location that
I believe in more significant penalties and stricter timeliness for FTDs. The rules are so tight for retail investors but the market makers, brokers, large funds, etc. receive so much leeway. A retail trader should have even opportunities as it pertains to data as well. I believe these rule changes will assist with bringing better information to all. Thank you.
Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration Category
My vote is No on this rule change
Please dont change the rules.
Very against this proposed rule
