As someone who has invested in the markets my whole life this proposed rule is just wrong. The only reason to do such a thing is to not let small individual investors control the money they have. It is the individuals right to invest as they wish and deal with whatever gains or loses they end up with by the decisions they make. It is American as it gets, the pursuit of life liberty and happiness
(a) Data Transmission
Each Industry Member shall transmit data as required under the CAT NMS Plan to the Central Repository utilizing such format(s) as may be provided by the Plan Processor and approved by the Operating Committee.
(b) Connectivity
Each Industry Member shall connect to the Central Repository using a secure method(s), including but not limited to private line(s) and
General Requirements
A certificate of a company whose transfer books are closed indefinitely for any reason shall be good delivery only if the required ownership transfer indemnification is affixed to or recorded upon the certificate. The indemnification acknowledges the assignor(s)' ultimate responsibility for the ownership of the certificate as of the date of the indemnification and
(a) If a party objects to producing any document described in Document Production Lists 1 or 2 or any document or information requested under Rule 12507, it must specifically identify which document or requested information it is objecting to and why. Objections must be in writing, and must be served on all other parties. Parties must produce all applicable listed documents, or other requested
FINRA is reminding firms that the requirement for each ATS to acquire and use a single, unique MPID when reporting information to FINRA will become effective on February 2, 2015.
All Stocks, ETF's, Funds or other investments are all subject to investment risk regardless of there class or structure. The choice is mine when making investment choices and must not be subject to Regulator involvement. The rules now on investment trading are already restrictive to a large degree.
Where were the Regulators when my pension was frozen during Company bankruptcy. Please
This proposed rule is an infringement on investors' freedom to invest in whatever they want to. Investors (not regulators) should be able to choose investments that meet our needs. The FINRA better not move forward with this regulation as investors are not in favor of this. No investor should have to go through special classes or processes to invest. Investors have the ability to
This is not right sounds like more of what happened at GameStop. Everyday in the market we find reasons that the US Stock Exchange is not a free market system. We need to go back to when the people made the exchange and the United States the most free nation in the world. But it was by the means being discussed today. The people will not stand for anymore rule bending that only prospers those
GUIDANCEOATS Reporting RequirementsEffective Date: February 14, 2005SUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsSenior ManagementSystemsTradingOATSRule 6954(c)Executive SummaryOn September 17, 2004, the Securities and Exchange Commission (SEC) approved amendments to Rule 6954(c) to require that electronic communication networks (ECNs) that electronically receive
SEC Approves Amendments to Eliminate the Requirement for the Senior Registered and Compliance Registered Options Principals (SROP and CROP)
