I, not regulators, should be able to choose public investments that are right for me. Why is it that investors such as Bill Hwang have access to unlimited amounts of leveraged derivatives through banks? How exactly is that fair to individual investors? This proposal will deprive individual investors of access to tooling that fund managers such as Hwang have access to and used to make substantial
The very fabric of America's growth and wealth (much of the wealth is given to almost the whole world) has been based on the ability of the average American Citizen to exercise his/her right to decide what is proper and acceptable for them to do, barring illegal acts under our Constitution and State Laws. The idea that we need someone (a regulator) to oversee our investment choices (
For far too long the stock market has been tilted/manipulated in favor of Wall Street. The issue is naked short selling. Despite being made illegal after the 2008–2009 financial crisis, naked shorting continues to happen because of loopholes in rules and discrepancies between paper and electronic trading systems. More often than you think great companies such as Clover Health. Clover Health was
Failure of a Participant or person associated with a Participant to comply with any of the rules or requirements of the System may be considered conduct inconsistent with high standards of commercial honor and just and equitable principles of trade, in violation of Rule 2010.
Renumbered from Rule 7270C by SR-FINRA-2008-066 eff. Jan. 1, 2009.
Amended by SR-FINRA-2008-057 eff. Dec. 15, 2008
Remarks from the CCOutreach BD National Seminar, as prepared for delivery.
This attempt at preventing investors from making investments of their choosing is un-American and appears to be another way to further stack the deck against individual investors. As if the un-punished crime publically commited by Robinhood with them protecting hedge funds and stopping profits by a large group of small investors wasnt bad enough, this further rigs the game to ensure more small
Dear Regulators, As an investor, I, not regulators, should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I agree that there should be warning agreements that need to be checked that an investor understands what they are getting into and the risks, JUST AS ALREADY EXISTS. NO
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In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests comment on proposed amendments to NASD® Rule 2210 to require that
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As FINRA continues to observe an increasing number of ransomware attacks impacting member firms, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting an Advisory issued by the
