FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
You not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
It is very important that you express your views in your own
wordsyour comments are more likely to be taken seriously
by FINRA if they reflect your own experience and perspective.
Not only do
You not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. It is very important that you express your views in your own wordsyour comments are more likely to be taken seriously by FINRA if they reflect your own experience and perspective. Not only do you have the
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to change references in the Codes of Arbitration Procedure from the Neutral List Selection System to the list selection algorithm.
Dear FINRA,
Hi My name is William Alexander.
I just want to write to express my concern over the proposed limitations concerning the trading of leveraged funds in the stock market.
Im a nobody. I started work at a gas station at $7/hour 15 years ago. I literally had zero money in
savings, no car, a small apartment, and 35k in debt!
Did I bemoan my fate? Absolutely not! The great thing about
You not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
It is very important that you express your views in your own
wordsyour comments are more likely to be taken seriously
by FINRA if they reflect your own experience and perspective.
Not only do
Hello SEC Well here we go again. I thought we had this matter settled a few years age when I sent my last public comment to you but apparently not. It is my understanding that the following items are being considered in order for someone to invest in leveraged and inverse funds. 1. Pass a regulator imposed test of your specialized investor knowledge 2. Demonstrate high net worth 3. Get special
You not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
It is very important that you express your views in your own
wordsyour comments are more likely to be taken seriously
by FINRA if they reflect your own experience and perspective.
Not only do
The Neutral Corner – Volume 4—2024Mission StatementYear End MessageNo Time to Sit Back: The Active Role of the Chairperson as Team Leader by Annamaria Boccia Smith, Esq., Former FINRA ArbitratorFINRA Dispute Resolution Services (DRS) and FINRA NewsArbitration Case Filings and TrendsFINRA Adopts Amendments to the Codes of Arbitration Procedure to Provide Non-Party Customers With a Copy of the
<p>Exemptive request denied: the OATS Rules do not provide NASD Regulation with the authority to grant exemptions from any of the OATS requirements.</p>
