Regulatory Obligations and Related Considerations
Regulatory Obligations
FINRA and the national securities exchanges have adopted rules requiring their members to comply with Exchange Act Rule 613 and the CAT NMS Plan FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) (collectively, CAT Rules), which cover reporting to the CAT; clock synchronization; time stamps;
This rule is an affront to investors everywhere. To think we are not competent enough to make our own decisions is insulting. Please reject this proposal.
I oppose the rules being considered. Individuals have the right to invest according to their own wishes. Is America a free country or is it a fascist dictatorship?
I am strongly against your SEC proposed rule #S7-24-15. We want less regulations from you not more.
As a relatively sophisticated inventor, well versed on the risks of investments, I see this rule does not benefit me - but restricts the way I can invest
I am against this rule, appears to be a way to exclude the little guy investor from making conservative gains during a down economy.
It would be a shame for these investment vehicles to be ruled unlawful. It is my freedom and right as an investor to use these vehicles to achieve my financial goals
Proposed Rule Change to Revise the Series 4 Examination Program
Please enforce or change rules for short selling
ACTION REQUIRED
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Executive Summary
On July 29, 2003
