Five-Day Period for Replies to Responses to Motions in Arbitration
I do not support SEC Proposed Rule S7-24-15. I should have the right to determine what public investments are right for me without going thru a special process like passing a test. I am capable understanding the risks involved with these securities. Leverage and inverse funds are an important to my investment strategies. I use them to hedge and seek higher returns as a limited portion of my
This rule is so un-necessary. Leveraged and inverse funds are extremely important to my families investment strategy. I use hedges and stop losses and paid advice from investors with over 30 yrs experience to carefully manage these funds. These are a small but very important part of my portfolio and it makes no sense to have to pass a test to make these well thought out and previously successful
FINRA Revises the Series 7, 17, 37 and 38 Examination Programs
FINRA Establishes a New Effective Date for Reporting Asset-Backed Securities to TRACE and Related Rule Changes
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to revise and restate the qualifications for representatives in arbitrations and mediations.
For a market to be free and fair all information on a tradeable asset must be disclosed. These updated rules protect all parties but particularly retail investors like myself who do not have access to the same data set as large firms. I support these rule changes, a more transparent market would benefit current investors and protect the confidence of future investors in the US stock market.
It's good you are trying to get them to be more transparent, but what's going to stop them from doing all this illegal activity still? You need larger penalties and fines and somebody who will enforce the rules in a timely manner, otherwise this ruling will do nothing. Please add harsher penalties and fines and somebody who will enforce them in a timely manner.
I would like to see better enforcement of the short sale rule (SSR). There have been days where the SSR was triggered on AMC but then the next day I’ve seen multiple red candles following red candles and that goes to show that the SSR rule is not in fact being enforced because you can only short on upticks (green candles) and not continue shorting on downticks.
FIRST is a prototype taxonomy-based rulebook search tool designed by FINRA to make the FINRA rulebook more accessible when searching for relevant information or developing automated compliance functions. FIRST is enabled by a regulatory taxonomy, or a hierarchical classification of key business and regulatory terms, applied, or “tagged,” to a series of key FINRA rules.
