Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision).
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SEC Approves Amendments Expanding TRACE to Include Agency Debt Securities and Primary Market Transactions
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Effective Date: February 15, 1998
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Executive Summary
On November 4, 1997, in Release No. 34-39294, the Securities and Exchange Commission (SEC or
Last Voting Date: September 27,
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The NASD® invites members to vote on a proposed amendment to the Corporate Financing Rule under Article III, Section 44 of the Rules of Fair Practice that is intended to prohibit certain anti-dilution provisions of options, warrants, or
Industry Governor (Independent Dealer/Insurance Affiliate)Senior Vice President, General Counsel & Chief Risk OfficerCommonwealth Financial NetworkGovernor Since 2021Committee: Regulatory Oversight CommitteeProfessional ExperienceSenior Vice President, General Counsel & Chief Risk Officer, Commonwealth Financial Network (2021 – present)LPL Financial (2007 – 2021)Executive Vice
Dear regulators. How about you do your jobs and protect the investor public by enforcing the laws concerning illegal activities being openly used by hedge fund managers to manipulate the markets to their benefit? It's outrageous that entities who profit ( in insane amounts ) are allowed to control not only fringe investing techniques, but to operate as market makers to directly benefit their
SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Specified Pool Transactions and SBA-Backed ABS Transactions and to Reduce the Time to Report Such Transactions
To whom it may concern,
Please do NOT restrict access to public investments to only your preferred group of wealthy individuals. As a non-accredited retail investor it is incredibly frustrating to be denied access to the same investments that other people have access to simply because my portfolio isn't large enough. The proposed regulations only serve to prohibit retail investors such
