Dear FINRA, Please oppose restrictions to my right to invest in products which will protect my capital. The freedom to invest is paramount for investors to be treated equally and fairly in all products. The adoption of unfair rules will harm American stock market investors. Please stop this illegal adoption of new rules.
Executive Summary
With the concurrence of the Securities and Exchange Commission (SEC), the Department of the Treasury (Treasury) recently issued a letter clarifying that the recordkeeping requirements of SEC Rule 17a-3 and Rule 17a-4 apply to forward settling repurchase and reverse repurchase agreement transactions (forward repos). In addition, the letter indicates that broker/dealers should
Summary
FINRA has received an increasing number of reports regarding registered representatives and associated persons (representatives) forging or falsifying customer signatures, and in some cases signatures of colleagues or supervisors, through third-party digital signature platforms. Firms have, for example, identified signature issues involving a wide range of forms, including account
Requirements of NASD Rule 2420 to broker/dealer arrangement to pay certain commissions and SEC Rule 12b-1 fees to accounts of various employee benefit plan customers.
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.
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.
As an investor in the UK, who regularly trades in securities in the US Markets - it seems less important to me that you introduce new rules, and more so that you actually enforce those already in place. It must logically be more effective to reign in those who are no -compliant with the current rules, than to spend more time, effort and money on producing, reviewing and publishing yet more rules
Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites
Proposed Rule Change to Provide Additional Relief Relating to Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
<p>Applicability of NASD Rule 3070 to the operations of a mutual fund and variable product distributor broker/dealer.<br/></p>
