The current policy and way of doing things is fine enough in my opinion, so a change would do little to benefit the current system. There seems to be very few reasons for such a drastic change, and I think it would be in the publics best interest to reject and decline such an advancement.
Keep it up, implement, even add more/stricter. Our finical system needs more transparency or (i fear) it wont survive the coming decade as the populous become increasingly aware of all the loopholes the 0.01%, funds, and corporations thrive on.
When will naked short selling and using dark pools to manipulate stock prices outlawed? The people doing this are committing treason. The current system is unfair and everyone is turning a blind eye to it. The American people are your employers.
We need more transparency in the market. Shorts need to reveal their shorts position, the FTD (failure to deliver) and naked shorts are making the market a place where it feel the system is ridge in favor of the 1% and against the retail investor.
The Neutral Corner – Volume 3—2024Mission StatementPro Se Parties: Tips for an Effective Hearing by Khoi Dang-Vu, Associate Regional Director, FINRA Midwest Regional Office and Dontay Phillips, Former FINRA InternFINRA Dispute Resolution Services (DRS) and FINRA NewsArbitration Case Filings and TrendsProposed Rule Change to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Amend the
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual Fund*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposal to rescind the Guidelines and to amend Article III. Section 35 of the Rules of Fair Practice to include items that were contained in the Guidelines and would
FINRA Revises the Series 7, 17, 37 and 38 Examination Programs
Executive Summary
FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees.1 Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) also appointed several individuals to fill additional vacancies on the SFAC and the National Adjudicatory Council (NAC). This Notice lists the individuals recently
It is an investors right to freely access the entirety of the public securities markets without arbitrary restrictions. Leveraged and inverse funds are important to investment strategy. The proposed scheme hurts investors' freedom and financial security. It upends regulatory system but is arbitrary and unworkable. I'm against the restriction.
