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!!!
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
The Best Execution, Outside Business Activities and Private Securities Transactions, Private Placements, and Reg BI and Form CRS sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
NASDR has filed with the SEC a proposed rule change to amend its By-Laws to clarify that the outgoing members of the National Adjudicatory Council are to select a Chair and Vice Chair from among the members who will be serving in the following year.
(a) Pursuant to the Rule 9600 Series, the staff for good cause shown after taking into consideration all relevant factors, may exempt, upon application and subject to specified terms and conditions, a member alternative trading system ("ATS") from the trade reporting obligation under paragraph (b) of Rule 6622, if such exemption is consistent with the protection of investors and the
NASDR has filed with the SEC a proposed rule change that was effective on filing, to amend the Code of Arbitration Procedure to facilitate use of dispute resolution programs offered by providers other than self-regulatory organizations. The change became operative on May 17, 1999.
Proposed Rule Change to Amend Section 13 of Schedule A to the FINRA By-Laws Relating to the Review Charges for Communications Filed with or Submitted to FINRA
