Transparency is very important to a free and fair market. Understandably, market makers need to "make the market" with points of anninumy. However, if those loopholes can be used to create legal manipulation of the markets, a fair balance of transparency should be developed. With transparency no market maker should be allowed to "make the market" with their and their clients
Third-party risk is the most clicked-on topic in FINRA's 2025 Regulatory Oversight Report. But what is third-party risk and why are people so interested in it? What can FINRA member firms do to mitigate that risk? And how can FINRA help? These questions will be answered on the latest episode of FINRA Unscripted, featuring a returning guest, FINRA's Executive Vice President of Member Supervision Greg Ruppert.
Dear Regulators,
I should be able to make my own investment decisions in publicly traded assets based on my understanding of the risks involved in leveraged, Covered Call, inverse, and non K1 commodity funds without the burden of passing additional tests and the elitist nonsense of minimum asset amounts. My traditional "conservative" stock/bond mix portfolios have all dropped
I do not need to be protected by my government or industry regulatory bodies acting on its behalf from the consequences of my investment decisions. The proposed rules will achieve only a limitation on the available investment options to those of us who have yet to earn our millions, and will make it harder for us to do so by removing higher return asset classes from the available options we can
Revision to Net Capital Treatment of Clearing Agreement Penalty Clauses
I feel this message will go no where, but I am writing this email to just have a voice in what is going on with AMC Stock. I invested in AMC to let Hedge Fund know you can make money if a company decides to go Bankrupt, but when a company as GME, AMC go broke because of a Pandemic which affected the whole entire Businesses World. I feel it is poor judgement to force a company to go broke by
I am an accredited investor and I don't see any reason why someone with less than a million in net worth or makes less than $200,000 a year can't be an accredited Investor as well. It makes NO sense when you allow for sports betting, casino's, and las vegas where the odds of losing your money can be much much higher. It's a racket to protect banks and large
I oppose restrictions on my right to invest in public investments.
I should be able to choose the public investments that are right for me. Public investments should be available to all of the public, not just the privileged.
I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of
What good is regulation if there is no enforcement? For far too long, market makers and institutions have been playing the game with their own rules whilst stealing money from the American public. How can this possibly be a free market with the lack of transparency and open manipulation that occurs in the stock market every day for the past several decades? There are a number of things that need
Hello,
I believe it is unfair to regulate what I invest in. I strongly believe that investors have the right to decide which public equities, bonds and funds they want to buy. To limit based on how much wealth an investor currently holds creates a disadvantage to those interested in creating wealth especially those who come from disadvantaged communities and populations. It is unfair to create
