Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
I oppose the proposed rule as I believe it is over reaching and unnecessary. Leveraged and inverse funds are not that complex. Betting at the horse races and on sports teams would be a better target for regulation. And inverse and leveraged funds offer an important option for investors when conditions warrant the risk. I would hate to see complex rules and restrictions placed on this investment
Proposed Rule Change to Create a $100 Fee and Honorarium for Late Cancellation of a Prehearing Conference
I've been an individual investor since 1999, and this new rule called "Reproposal of Amendments to Rule 15c2-11", if that is the reproposal in question? Well it's blatantly discriminatory since it requires a certain net worth in order to quality for equal access to all investment options. That's also known as income discrimination. As such, I strongly
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Executive Summary
The Securities and Exchange Commission (SEC) has
Thank you for considering my comments on Proposed Rule #22-08. I oppose Proposed Rule #22-08 because these restrictions discourage smaller individual investors seeking a level playing field with larger "players" in the markets. The risks associated with these securities are not difficult to understand or evaluate for responsible individuals. Investors should have the
The Firm Short Positions and Fails-to-Receive in Municipal Securities and Fixed Income – Fair Pricing sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
SEC Approves Amendments to Require Reporting of OTC Trades in Equity Securities Within 30 Seconds of Execution
Summary
In support of the Securities and Exchange Commission’s re-proposal to amend Rule 15b9-1 under the Securities Exchange Act of 1934,1 FINRA is issuing this Notice to re-open the comment period for Regulatory Notice 15-13. Rule 15b9-1 currently provides proprietary trading firms with an exemption from membership in a national securities association. If the SEC re-proposal is adopted, the
When did it become appropriate to act as a nursemaid to grown-up investors?
Evermore rules and regulations are the lifeblood of the bureaucratic / political world. Little do they know or care that these rules and regulations lead to a less robust economy based on free enterprise and unfettered competion.
We do not appreciate the nanny state trying to "protect" us from
