I am against this rule and want freedom to invest in any fund.
Protecting investors means protecting their data, too. Our Small Firm Cybersecurity Checklist supports small firms in establishing a cybersecurity program to:Identify and assess cybersecurity threats;Protect assets from cyber intrusions;Detect when their systems and assets have been compromised;Plan for the response when a compromise occurs; andImplement a plan to recover lost, stolen or
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Executive Summary
On December 30, 1992, the Securities and Exchange Commission (SEC) granted the NASD's request for interim designation of the OTC Bulletin Board® service (OTCBB) as a "Qualifying Electronic Quotation System" (QEQ System) for purposes of certain SEC Penny Stock Disclosure Rules that became
SEC Approves Rule Change to Require Reporting of Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine (TRACE)
Sec. 1. (a) Application for membership in the Corporation, properly signed by the applicant, shall be made to the Corporation via electronic process or such other process as the Corporation may prescribe, on the form to be prescribed by the Corporation, and shall contain:
(1) an agreement to comply with the federal securities laws, the rules and regulations thereunder, the rules of the
This proposed rule is despicable. It demonstrates gross negligence by FINRA reps
I support no rule changes regarding so-called "complex" investments by regulators.
Effective March 15, 1999
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Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
Have now studied the stock market and how groups like CITADEL have been absolutely stealing from the Global Investment Community while SEC/FINRA/LEGISLATORS/PRESIDENT are simply turning a blind eye to Naked Shorting/handling FTD's and being able to manipulate stock prices by using borrowed shares in DARK POOL TRADING. Ken Griffin needs to feel the pain that he has caused the world retail
