Enough of our rights have eroded enough. The United States is FREE nation where it's citizens make their own choices as to whether or not they will invest their money. It is not up to regulators or any other high-minded know-it-all to decide whether or not a person can invest in something. Investing has its risks, just as it has its rewards. It is not and NEVER should be up to some &
To whom it may concern: Regarding FINRA regulatory Notice 21-19 Many of us are concerned. The Citizens of The United States of America are demanding full transparency regarding Short Sale Reporting, as well as full accountability regarding Failure to Delivers. The World is watching and the integrity of our stock market is at stake. We demand full transparency/accountability. Thank you for your
This regulatory notice goes against everything that the United States is founded upon. Freedom to pursue life, liberty, and pursuit of happiness as long as its no danger to others. What investment fund I choose to place my own hard working money in is my own choice. Even If I lose my money, it was my own adult autonomous decision I made to do so, no regulatory body should be able to restrict me
I strongly oppose the regulation of types of investments I am able to make for myself and my family. This is the United States of America - we have the freedom to invest in the properties that we choose without special restrictions and without passing a test or having a minimum level of net worth and that should not change. I study long and hard before making an investment decision and do not
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As of June 14, 1989, the following 18 issues joined the NASDAQ National Market, bringing the total number of issues in the NASDAQ National Market to
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-4 Internal risk management control systems for OTC derivatives dealers.
15c3-4(a) An OTC derivatives dealer shall establish, document, and maintain a system of internal risk management controls to assist it in managing the risks associated with its business
Hello!
My name is Jillian Cardona. I live, work and study in the state if Texas. Im a full time college student and work full time. I dont think I should have to pass a special test just to invest. By restricting the peoples right to invest, it will only cause more upset in the American People. There are many good things about living in the United States, like having the freedom of investing.
As a Country, we've lost confidence in the free market of the United States of America. My suggestions would be: T-0 real time settlement FTD's forced to deliver per the regulations Enforcement of illegal naked shorts that have decimated retail's portfolios for decades. Increased scrutiny of dark pools (some of these stocks are being traded 60% in dark pools) Elimination of being
The American dream is a reason why many people come to the United States. There are different ways to reach that goal. Some work hard as a laborers and others go to school. But due to the issues of inflation people need to invest into the stock market to make sure they have that competitive edge. These different types of ETFs give them that opportunity without have to sacrifice time at their day
I oppose restrictions to my right to invest. I should not be limited in the investment opportunities I can capitalize on to build wealth. This regulation isn't for protection or guidance; it's to deny people of lower net worths, lower classes, and less privilege access to build wealth. The United States prides itself as a country where people can build themselves up, but
