The Office of General Counsel (OGC) of NASD Regulatory Policy and Oversight publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (Hearing Panel and National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission (SEC) in NASD cases).
I oppose restrictions because people should have the freedom to buy the stocks and ETFs they like.
I do not wish to be regulated on what stocks , ETFs or mutual funds or REiTS I may purchase
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTraining*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed changes to Schedule E that would require compliance with its provisions if a member participating in a distribution of a public offering of
Please do not hinder my ability to participate in the stock market or create barriers that are unnecessary.
We should have the right to trade all crypto and crypto related stocks and etf's.
Government overreach is unacceptable especially when it comes to the United States of America's stock market.
Market timing is an active investment strategy involving shifting money in and out of the market or from one investment to another to exploit anticipated short-term price movements. Market timing can involve transferring between equity sectors and asset classes, or liquidating assets.
On Monday, December 2, 2019, FINRA will expand the summary firm data relating to over-the-counter (OTC) equity trading that FINRA publishes on its website.
Beginning on December 2, 2019, FINRA will provide:
new monthly aggregate block-size trading data for OTC trades in NMS stocks executed outside an alternative trading system (ATS) on a one-month delayed basis; and
aggregate non-ATS volume
I oppose the restriction of leveraged and inverse funds. I think this is a balance of both directions on the stock market.
