Do not move forward for limiting investors ability to directly invest of pro shares. Ive been doing it for years and found it to be very straightforward and not as complexes if some would make it sound. Do not change the rules. We will work hard to overturn any rule that you might put in place that would limit our ability to directly invest in that would cost you a lot of time and money in the
Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks
Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282 to Conform to Amendments Made by NYSE
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 4130A, 4300A, 4613A, 4617A, and 4632A regarding the Alternative Display Facility ("ADF"). Specifically, the proposed rule change expands the prohibition on locking or crossing quotations in NMS stocks to include pre-opening and post-closing
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Year 2020 and Calendar Year 2021) under FINRA Rule 3110 (Supervision) to include calendar year 2022 inspection obligations through June
RE: FINRA Proposed Rule #22-08 We dont need more people telling us we are too stupid to handle investments on our own. It will turn into another rule for us but not for you. We have too many regulations now.
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Discretionary Accounts and Transactions
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Sale of Securities in a Fixed Price Offering
This rule would take valuable tools out of the hands of everyday investors, limiting them to the wealthy and corporations. This doesn't help anyone; it takes the tools away from them which help them succeed. This rule is shameful and antithetical to financial freedom.
GUIDANCE
Amendments Regarding Deadlines for Submission of Initial Annual Report under Rule 3012 and Execution of the Initial Annual Certification under Rule 3013 and IM-3013
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
IM-3013 (Annual Compliance
and Supervision
