The rules SEC, DTCC,NSCC and all regulators institutions had been promoting should be activated and complied. The naked short sales is illegal so that is a criminal act. As criminal act must be punished with severe penalties not just with a few dollars. If a common person that works in an financial institution commit a crime by changing few numbers to hide they were doing something wrong that
Arbitrator List Selection Method for Intra-Industry Disputes
Enhancement to current rules
Just stop with the nanny state already. Enforce the rules you already have and obtain convictions for the fraud and malevolence which are everywhere in our financial markets. If you cannot prevent the looting at the ARK funds, or the huge batch of highly questionable IPO's from 1H 2022, what business do you have regulating leveraged instruments. There was huge risk to investing in
For the markets to be a truly capitalist vehicle, all data available so some must be available to all. SEC Rules mean nothing to these large firms because the penalties are not severe enough to matter. The relatively small fines for violating the laws of the US and the rules of the SEC are simply the cost of doing business for these firms. It is public knowledge they budget these things into
Hi Yvonne Huber, and Racquel Russell About myself I am a typical retail investor who has just began studying for the FINRA exams. Concerns/ Suggestions: 1. Please reduce the buy back period for Market Makers to T-0 this is the standard for other countries. 2. Please make the Fee for missing out on the T-0 5% of the FMV of the current price of the share multiplied by the number of FTDs and charge
SummaryFINRA is providing information in this Notice to remind registered persons and firms of the continuing education (CE) requirements, including:this year’s CE Regulatory Element training assignments and completion deadline of December 31, 2024;resources available to firms for facilitating compliance with the annual Regulatory Element requirements; andresources available to firms to guide in
Stop this potential ruling!
I oppose the proposed rule
