I’m not going to pretend that I know more then the sec. I’ll just say one thing. Enforce the rules you have in place, and stop [REDACTED] for someone because they have billions in the bank. We the people won’t [REDACTED] for you or them any longer. And when this transfer of wealth is complete there will be an all new era in America and I for one, can’t wait.
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EXECUTIVE SUMMARY
On July 7, 1992, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 26 of the NASD Rules of Fair Practice relating to asset-based sales charges by mutual funds.
Where do I begin? Crack out the whip on SEC forcing them to actually enforce the current rules, & make improvements where needed to protect EVERY investor - NO FAVORITISM. Shorts should be transparent for ALL to see. 'Immediate' enforcement of FTD failure to deliver. FULL transparency is imperative, show what's happening on the inside with dark pools. A fair market needs to
I JUST WANT THE RULES TO BE ENFORCED FOR ONCE. YOU GUYS ARE SUPPOSED TO PROTECT THE RETAIL INVESTOR. What is happening behind closed doors is unbelievably evident. THEY ARE OVERLEVERAGED yet have not been called. AMC retail investors own the float and they continue to borrow shares they find somewhere. How can you claim to be for us when their penalties are a slap on the wrist. please protect us.
All current legislation should be properly enforced. Harsher punishment for those who fail to abide by the rules; bigger fines (full amount made from any damages done through manipulation) and or Jail time. HFT - they should either be regulated and monitored or scrapped all together. No human can compete with them. Stop the forced bankruptcy of companies through market manipulation.
Effective February 1, 2008, FINRA is expanding the class of entities permitted to use the delta hedging exemption to include other broker-dealers and certain financial institutions. NASD Rule 2860, as amended, is set forth in Attachment A to this Notice.
For purposes of the UPC Code (FINRA Rule 11000 Series) and other FINRA rules that permit review of FINRA decisions by the UPC Committee, a decision of the UPC Committee may be rendered by a panel of that Committee. The panel shall consist of three or more members of the UPC Committee, provided that no more than 50 percent of the members of any panel are directly engaged in market making activity
On Oct. 16, 2024, the Cybersecurity & Infrastructure Security Agency (CISA) released Cybersecurity Advisory - AA24-290A, which provides threat actors’ tactics, techniques, and procedures (TTPs) and indicators of compromise (IOCs) associated with Iranian cyber actors. In light of the historical proclivity of Iranian threat actors targeting the financial services industry, FINRA is sharing this information with member firms.
FINRA Announces Temporary Margin Maintenance, Net Capital and Reserve Formula Requirements Related to Money Market Mutual Funds
FINRA Adopts Amendments Relating to Reporting Transfers of Proprietary Positions in Debt and Equity Securities in Connection With Certain Corporate Control Transactions
