SEC Approves Amendments to Uniform Branch Office Registration Form (Form BR)
Naked short selling and the black market should be illegal. Every share should have a specific number assigned, tracked and allocated for daily. Each share should only be borrowed for a short position one time, using the specific number assigned. Once the borrower share is returned, only then can it be used again. Short positions should never exceed the actual number of shares that exist for any
I feel that the current system of allowing Hedge funds, and wealthy investors to run rampant on Wall Street shorting stocks into oblivion only to slight the retail investor. Overleveraging themselves into positions based on pride and ego and then expecting the American Taxpayer to foot the bill when they go bankrupt and lose people's retirement and 401k is absolutely appalling. Selling
The fact this is even being proposed with any legitimacy surmounting it is an absolute disgrace to the common folk of this country. It is easily understood that if we pass something like this, many other countries' governmental systems will follow which would be absolutely devastating to the low, middle and even high class members of any society. Disgusted would be the least I could say
To the FINRA Regulators,
One of the greatest developments in modern American history is the democratization of investing and the ensuing freedom for individual investors to save, invest, and trade freely on an open market. Inverse and leveraged funds allow retail investors to enhance their trading and investing strategies with straightforward and low cost options that are fully explained in the
For individuals who are currently registered reps or employed with a firm, you should work with your firm’s compliance department to make sure that you are properly registered, provide your firm with timely updates to your record and understand your obligations as a Registered Rep.
While your firm manages most of your information, you can use the Financial Professional Gateway (FinPro) system to
I (the People) should be able to invest in what I want, NOT what you think. That;s just too much regulation (Micromanaging)
I am more than capable of understanding complex investments; if you want to fix ignorance; then we need to FIX OUR SCHOOL SYSTEM to teach our young valuable financial Life Skill.
I (the people) am capable of understanding what I don't know and research it. That is
TO: All NASD Members and Other Interested Persons
ATTN: Direct Participation Programs Department
EXECUTIVE SUMMARY
This notice announces the adoption of exemptions from the special suitability and disclosure requirements of Appendix F to Article III, Section 34 of the NASD Rules of Fair Practice for freely tradable limited partnerships. The exemptions relate to primary and secondary public
The Outside Business Activities and Private Securities Transactions section of the 2021 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
I was directed here from an advertisement on Reddit. TL/DR: I fully approve of your work (in general) to protect the public from the cesspool of fraudulent "investments". This includes "complex" investments, and (in my own area of higher knowledge), all of the "crypto currency" and NFT and similar investments. The ad on Reddit pretends that they are concerned about
