I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST. The day trading restrictions and wash sales rules have already made it very unfair for little guys like me in comparison to institutes and hedge funds. I 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.
I would like to speak in opposition to rule changes re leveraged ETF's. These investment products have allowed me to hedge some of my risk in the markets. These products are cost effective. They allow me to keep most of remaining investments in conservative low beta alternatives, while allowing a small portion of my portfolio to hedge some of the risk. Steve Davis
FINRA has implemented Form BR (Uniform Branch Office Registration Form) functionality enhancements for initial Form BR submissions that allow firms to de-select FINRA when establishing a new location designated as an RSL that needs to be registered or notice filed with a jurisdiction, the New York Stock Exchange (NYSE), or both, as a branch office. Further information on these functionality enhancements and how firms should complete an initial Form BR is available in the Frequently Asked Questions about Residential Supervisory Locations (RSLs).
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved an amendment to Paragraph (b), Part VI,
Application of Customer Account Information and Suitability requirements to member selling one type of security to narrow target audience.
Do your job. There is zero transparency in the market. Current rules and regulations either aren't being enforced, or are too difficult to enforce due to secretive trading. Naked shorts are still happening, end dark pools, start looking out for the retail investor.
Transparency in the market and frequent monitoring of naked shorting. Start enforcing the rules we already have and the fines need to be steep enough to incentivize the Hedge Funds and other large investors to stop with the illegal activity. The fines need to be in the 10's or 100's of millions of dollars.
Transparency in the market and frequent monitoring of naked shorting. Start enforcing the rules we already have and the fines need to be steep enough to incentivize the Hedge Funds and other large investors to stop with the illegal activity. The fines need to be in the 10's or 100's of millions of dollars.
Transparency in the market and frequent monitoring of naked shorting. Start enforcing the rules we already have and the fines need to be steep enough to incentivize the Hedge Funds and other large investors to stop with the illegal activity. The fines need to be in the 10's or 100's of millions of dollars.
Enforce rules, larger penalties, end naked short selling, transparency or end/reduce dark pools, limit high frequency trading, limit ability to short sale-naked-over and over, transparency in short sales, regulation sho-strict adherence and compliance regarding threshold list
