TO: All NASD Members, NASDAQ Issuers and Other Interested Persons
LAST DATE FOR COMMENTS: SEPTEMBER 15, 1986.
The National Association of Securities Dealers, Inc. (NASD), requests comments on proposed revisions to Schedule D of the NASD By-Laws. Schedule D governs the operations of the NASDAQ System. The text of the proposed revisions is included as Attachment I. The text of the current Schedule
I apologize for the undoubtedly large number of submissions you are likely receiving from those simply looking to vent rather than actually comment on the specific matters in this notice. The scope of volume seen in trading is absolutely daunting, and I think the first question that should be asked regarding any information being collected is whether it is purely self-reported, or if there is
FIX THE NAKED SHORTING [REDACTED]!!!
Rule 1. All short sale shall be reported to finra by end of each settlement day. Rule 2. Finra shall make public report the day to day short sale by end of settlement day or the trading week. Rule 3. All unused loaned shares shall be reported to finra by end of settlement day. Rule 4. Finra shall make public the outstanding unused loaned share by end of settlement day of a trading week. Rule 5.
Hi Yvonne Huber, and Racquel Russell About myself I am a typical retail investor who has just began studying for the FINRA exams. Concerns/ Suggestions: 1. Please reduce the buy back period for Market Makers to T-0 this is the standard for other countries. 2. Please make the Fee for missing out on the T-0 5% of the FMV of the current price of the share multiplied by the number of FTDs and charge
As a college student who works for near minimum wage, saving for my future, no matter how frugal, amounts to very little. Since investing, leveraged stocks have given my capital a turnover that puts my financial goals on track, given due diligence. Banning leveraged stocks would be another financial avenue closed to the working class, who simply want to save for their own home.
It's especially important regulators hear from you in your own words. Please use the body of this email to customize your response.
As a follow-up to my first letter of comments objecting to FINRA's proceeding further with any future added regulations on/to U.S. financial investment instruments such as those utilized(provided) by UltraPro, UltraPro Short, or Ultra Short Pro
Inverse leveraged ETFS have helped me to hedge my long term stock investments. I have been warned to not hold them for long, and I can use a trailing stop to avoid big losses. Because of these products I dont panic in a sell off, and I can continue to hold my stocks and collect my dividends. Please dont take these tools away because of some reckless traders.
Just as many others are upset, I'd just like to say I'm very disappointed with how the corruption in the stock market is being handled, there are many people who are not getting the money they earned by participating in stock exchange because of constant market manipulation, and despite so much evidence of these malicious practices, hedge funds are allowed to continue scott free.
This Rule prescribes requirements regarding the continuing education of registered persons. The requirements shall consist of a Regulatory Element and a Firm Element as set forth below. This Rule also sets forth continuing education programs through which specified persons may maintain their qualification in a representative or principal registration category following the termination of that
