March 9, 2009
Dear Executive Representative:
We are writing to highlight new and existing areas of particular significance to FINRA's examination program for 2009. We hope you will use the information in this letter to gain valuable insight into some key FINRA examination topics, and to help you assess your firm's compliance and supervisory programs.
Before discussing specific
It's not your place to tell me what I can or cannot invest in. I've been trading equities/futures for years and also investing in cryptocurrency. You don't seem to mind all of the pump and dumps or insane shorting/manipulation in the equities markets. You put the PDT rule in place to "protect the little ones" which just hinders them (SEC, I know), now you're trying
We do not need FINRA telling us what is safe or unsafe. Directly to my point. THE FEDERAL RESERVE UNITED STATES DOLLAR, FIVE DOLLAR, TEN DOLLAR, TWENTY DOLLAR, FIFTY DOLLAR, and HUNDRED DOLLAR are all COMPLEX INVESTMENT INSTRUMENTS in so much as THEIR VALUE IS NOT SET AGAINST ANY SECURE ASSET (gold/silver AS STATED IN THE CONSTITUTION) IT LOSES VALUE EVERY DAY DUE TO OVER PRINTING AND INFLATION
It’s sad to see laws being broken and nothing being done to bring justice to the people being taken for granted and used. Billionaires should not be allowed to get away with this kind of nonsense theft. Where is the rule of law? Allowing this type of theft is slowly unraveling our society and has very dangerous implications. Companies are going bankrupt due to companies like citadel shorting
To whom it may concern: I have grave concerns that the goals of the 21-19 rule change have too many loopholes and will not meet the stated goals of the effort. In fact, FINRA's minimal efforts at preventing ongoing FTD violations and options and swaps manipulation that circumvents REG SHO and T+2 requirements has led me to believe that FINRA is unable to be trusted as a Self-regulating
Effective July 16, 2007, NASD member firms may designate co-chief executive officers (co-CEOs) and multiple chief compliance officers (co-CCOs) to discharge the requirements of Rule 3013 (Annual Certification of Compliance and Supervisory Processes and accompanying IM-3013.
How are we (the public retail) supposed to believe any information reported is accurate, when fines for breaking any rules take years to resolve and are minuscule when compared to the money that is being made off of defrauding the little guy? When the people lying are friends with the people who are supposed to keep them in check, all it takes is a little kick back to make it all go away. Lame or
The types of investments that could potentially be impacted by SEC Proposed Rule #S7-24-15 is lengthy and diverse, including Leveraged and Inverse Funds, and can legitimately be incorporated as part of a comprehensive investment strategy. These are publicly traded instruments and I am an experienced, educated, and informed investor. I should NOT need to jump through additional hoops to be "
It is these unfair practices that hamper investors to take advantage of the current market. This is not protection but a means to limit a persons ability to invest freely. We all know the risks associated with leveraged products and non leveraged products. This is just another way to prohibit individuals from getting the maximum out of their investments. We all know the downside when using
