Individual investors oppose the SEC Proposed Rule:
--It is a form of control by the regulators to impose its judgement on investors about investment vehicles that play a key role in risk mitigation.
--It is way to impose barriers to market efficiency.
--There is no reason for further intrusion by the government into capital and investing markets.
--It is unconstitutional.
--Retail investors are
Dear FINRA,
I have no doubt these proposed rule changes are not being taken in order to "protect" the average investor. Instead these rule changes seek to add further restrictions on retail investors in order to protect financial institutions from incuring losses during this period of high volatility. Passing these rule changes would be an injustice to the average American. I
Proposed New Rule 2231 Regarding Transaction-Specific Disclosures for Customers in Debt Securities Transactions
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These reports and report cards display statistics related to firms' compliance with Municipal Securities Rulemaking Board rules and other requirements related to municipal securities and the MSRB's Electronic Municipal Market Access website.
MSRB Markup/Markdown Analysis Report
The report is a monthly compliance tool that provides an analysis of the markup
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc.
The FINRA Board of Governors is holding its final meeting of the year, with Board committees giving consideration to multiple issues.
Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4)
SEC Approves OATS Amendments to Require Identification of Non-FINRA Member Broker-Dealers
Comments: I believe the rules are stringent enoughand most investor traders know these are short term instrumentsleave the rules alone
