I wanted to voice my opposition to SEC Proposed Rule #S7-24-15. As a consumer and investorI feel it is might right to choose investments that I have researched and vetted while being free of regulatory restrictions. The SEC needs to understand that with the Internet people are more informed than in the history of investing in the United States and are able to make informed decisions without
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMunicipalOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
On January 30, 1992, the United States District Court for the District of Utah appointed a Securities Investor Protection Corporation (SIPC) trustee for:
San Marino Securities, Inc.1245 E. Brickyard Road, Suite 140Salt
FINRA, I am just a small retail investor that is quickly losing faith in a fair and transparent marketplace. I would like more frequent public reporting of short positions and more detail in public reports to begin with. Can you help restore faith in the "retail investor" community by requiring extreme transparency at all levels? We need a fair and unbiased referee, without that, I will
The prevalence of cybersecurity incidents continues to increase at FINRA member firms. As a result of the continued proliferation of cybercrime, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is issuing this advisory to highlight effective practices and considerations for member firms when responding to cyber incidents, including the benefits of voluntarily reporting information related to the incident to various entities.
FINRA, Keep your democratic driven policies out of average citizens right to invest their portfolio as they deem appropriate. I would like to know the true reasons after many many years of market investing you want to instate restrictions on MY earned savings. Your like a snake in the grass. Keep your [REDACTED] regulations to yourselves and leave the citizens of the United States their freedom
Regulators need to stop getting in the way of what they perceive as "risky" investments. With the internet age being in full swing, the general public is more informed than ever about investments. They can protect themselves about investment climates. It would be unfair to not let the general public being able to invest in the same instruments any other entity may be able to
We do not need FINRA telling us what is safe or unsafe. Directly to my point. THE FEDERAL RESERVE UNITED STATES DOLLAR, FIVE DOLLAR, TEN DOLLAR, TWENTY DOLLAR, FIFTY DOLLAR, and HUNDRED DOLLAR are all COMPLEX INVESTMENT INSTRUMENTS in so much as THEIR VALUE IS NOT SET AGAINST ANY SECURE ASSET (gold/silver AS STATED IN THE CONSTITUTION) IT LOSES VALUE EVERY DAY DUE TO OVER PRINTING AND INFLATION
I don't need or want any government agency determining my capacity to understand "complex products." The trade of leveraged & inverse (leveraged) products allows smaller investors to take on asymmetric risk with very little liquidity. This allows me to insure large portions of my portfolio during down-turns with very little cost/risk; something I would
FINRA 21-19 leaves many problems with address general problems, but also makes many new ones that get rid of the purpose of 21-19. It is very important for the stability of the United States market that regulations regarding short positions are reported in every situation. Otherwise, short positions can go unaccountable for a long period of time after their due date. We must not let our standards
SUGGESTED ROUTING:*
Senior ManagementMunicipalOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
On April 23, 1991, the United States District Court for Connecticut appointed the Securities Investor Protection Corporation (SIPC) trustee for:
Gateway Securities, Inc.45 E. Putnam AvenueGreenwich, CT 06830.
Questions regarding the firm should be
