REQUEST FOR COMMENT
Regulation of IPO Allocations and Distributions
Comment Period Expires: September 9, 2002.
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Legal & Compliance
Registered Representatives
Senior Management
Trading & Market Making
Flipping
IPO Allocations
NASD Rule 2710
NASD Rule 2712
Penalty Bids
Spinning
Underwriting Compensation
FINRA Requests Comment on a Revised Proposal to Adopt a Consolidated FINRA Rule Regarding Discretionary Accounts and Transactions
I've been an individual investor since 1999, and this new rule called "Reproposal of Amendments to Rule 15c2-11", if that is the reproposal in question? Well it's blatantly discriminatory since it requires a certain net worth in order to quality for equal access to all investment options. That's also known as income discrimination. As such, I strongly
Thank you for considering my comments on Proposed Rule #22-08. I oppose Proposed Rule #22-08 because these restrictions discourage smaller individual investors seeking a level playing field with larger "players" in the markets. The risks associated with these securities are not difficult to understand or evaluate for responsible individuals. Investors should have the
When did it become appropriate to act as a nursemaid to grown-up investors?
Evermore rules and regulations are the lifeblood of the bureaucratic / political world. Little do they know or care that these rules and regulations lead to a less robust economy based on free enterprise and unfettered competion.
We do not appreciate the nanny state trying to "protect" us from
Proposed Rule Change Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine
Proposed Rule Change Relating to FINRA’s Fees for Filing Documents Pursuant to FINRA Rule 5110
I object to proposed rule #22-08. I believe it is the investor's responsibility, or in other words, my responsibility to choose whcih investments are best for me. I shouldn't have to go through a special process to dietermine if I'm allowed to invest in a publicly available investment. This rule appears to me to restrict certain investments to select few that meet
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt Interpretive Material ("IM") to NASD Rule 3060 to require members to adopt policies and procedures addressing business entertainment. This rule filing has been withdrawn.
GUIDANCEDeletion of Obsolete RulesEffective Date: August 10, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementObsolete RulesRule 3400 SeriesExecutive SummaryThe Securities and Exchange Commission (SEC) has announced the immediate effectiveness of an amendment to delete as obsolete IM-2210-4(b) (Certification of Membership) and Rule
