TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: SEPTEMBER 30, 1985
The National Association of Securities Dealers, Inc. (NASD), is soliciting comments from members and other interested persons on a proposed new rule (new paragraph (m), Article III, Section 26, NASD Rules of Fair Practice) that would govern the prompt payment by NASD members for investment company shares
CommentsThe definition of the term COMPLEX IS TO GENERAL LET AN INDIVIDUAL TAKE RESPONSIBILITY FOR THEIR OWN ACTIONS :
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EXECUTIVE SUMMARY
On November 2, 1988, the Securities and Exchange Commission approved amendments to the NASD By-Laws and Rules of Fair practice and new Government Securities Rules designed to permit the NASD
The Communications with the Public topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
If this leads to the exposure of naked short selling and actions that are as deceptive, great.
This rule limits our freedom to invest. My uncle died in action in WWII fighting for this freedom.
I oppose any action that will restrict or impede my right to invest in leveraged or inverse funds now or in the future.
Stop the over regulation. Allow investors to be responsible for their own actions. Bad investment decisions are self correcting.
Here is my comment bellow.
We have been facing global unexpected facts past two years.
Ex.: Covid. We were not prepared for the covid. Global economic just crashed. Not only in USA, but global.
Ukraine war. Who does believe that there is a war with bombs, real weapons war in century 21th? Did you believe it in the beginning of March? No.
FED action. FED action has been disaster.
