Proposed Rule Change to Update Certain Rule Cross-References and Make Other Non-Substantive Technical Changes to FINRA and NASD Rules
I am a novice retail investor and learning more each day. Here are a few remarks: 1. If naked or synthetic short is illegal, why allow it to happen? A company that issued 30 million shares should not be trading 100 million shares. 2. Rule breakers should pay fine to security agencies (SEC, FINRA, NTCC, etc.), compensate clients, and be restricted from trading certain stocks for a period of time.
Proposed Rule Change to Amend Rules 12213 and 13213 of the Customer and Industry Codes to Expand the Criteria for Selecting a Hearing Location for an Arbitration Proceeding
FINRA’s Corporate Financing Department protects investors and promotes vibrant and efficient capital markets by reviewing the capital-raising activities of FINRA member firms and assisting them in complying with FINRA rules and federal securities laws
I am able to make my own investing choices. I would never invest in any type of investment that I have not done my own research on and feel comfortable with.
We do not need more unnecessary rules.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Section 4 of Schedule A to the FINRA By-Laws to: (1) revise the fee for the Regulatory Element of continuing education (“CE”); (2) establish the fee for individuals who elect to maintain their qualification following the termination
I use leveraged funds as a strategic portion of my investments. Overall, it makes up a very small part of my net worth. Please do not change the rules on me. This does not protect people like me.
I am adamantly against the proposed rule to end inverse and other similar products. During volatile market periods, these products have helped to protect my portfolio. Thank for the opportunity to express my viewpoint on this matter.
Proposed Rule Change to Require Members to Report OTC Transactions in Equity Securities Within 30 Seconds of Execution
I strongly oppose any changes to my investment decisions. I should have the right to invest in any securities that I choose whether good or bad.
Current rules and regulations govern investors.
My investments, my decisions!
