REQUEST FOR COMMENT
Supervision Rules
Comment Period Expires: October 10, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Rule 3010
Supervisory Systems
Executive Summary
NASD requests comment on proposed amendments to Rule 3010 (Supervision) to require members to adopt heightened supervision
Summary
With the recent increase in the number of customers seeking to open brokerage accounts and trade options, FINRA reminds members of the requirements for determining whether to approve a customer to trade options. Regardless of whether the account is self-directed or options are being recommended, members must perform due diligence on the customer and collect information about the customer
You have the benefit of the equivalent of insider trading information. Why should the public be restricted even more?
Leverage has worked for me. Please stop taking good opportunities away from an informed investor
proposals are punitive to the investor .If there is no fraud what is the use of the restrictions .Information about the risk is all what is needed .
Please let investor select their own choice. Let investor know the product information and the included risks
Please let investor select their own choice. Let investor know the product information and the included risks
WHY IS IT OK FOR YOU TO GET INSIDER TRADING INFORMATION? NOT OK FOR US TO CHOSE OUR OWN INVESTMENTS?
I am against the vote as an informed investor it is my choice knowing the risks associated with these products, if I want o invest or not.
Trade Reporting and Compliance Engine (TRACE)
Background
On December 20, 2019, the SEC approved an amendment to FINRA Rule 6750 to permit the publication of weekly aggregated transaction information and statistics on U.S. Treasury Securities. Starting Tuesday March 10, the new TRACE data aggregates will be published on FINRA’s website (www.finra.org).
Aggregated Reports
The
