I do not believe that this rule is for the benefit of retail investors. These regulations are not for our own interests and do not protect us.
I oppose this ruling. This will force many retail investors that are looking for leverage into more dangerous vehicles, such as futures and options.
I oppose adoption and enforcement of SEC Proposed Rule #S7-24-15. It unreasonable resists access to trading instruments.
I disagree with this proposed rule. This is another attempt to rig the markets and shut-out retail traders. This is totally absurd and corrupt.
This rule can lead to exploitation by high volume buyers and market makers. This will disproportionately affect retail investors
I oppose being regulated or restricted not being able to trade in securities that I want to invest in. I strongly oppose this ruling!!!
The Market Access Controls section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
The Private Placements section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
NASD has filed with the SEC a proposed rule change to the Code of Arbitration Procedure to permit parties in an arbitration to communicate directly with the arbitrators if all parties and arbitrators agree, and to establish guidelines for such direct communication.
February 20, 2015
Mr. Gregory J. Nowak
Pepper Hamilton LLP
3000 Two Logan Square
Eighteenth and Arch Streets
Philadelphia, PA 19103-2799
Re: FINRA Rule 5130 - Restrictions on the Purchase and Sale of Initial Equity Public Offerings
Dear Mr. Nowak:
This is in response to your letter dated December 3, 2014, in which you request interpretive guidance on behalf of PCV Lux, SCA ("PCV
