SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Training
Executive Summary
The Office of General Counsel, NASD Regulation, Inc. (NASD RegulationSM) is issuing this Notice to provide interpretive guidance to members regarding NASD® Rule 3050 and, in particular, paragraph (d) of the Rule. Rule 3050 was designed to obligate members to use reasonable
NASDR has filed with the SEC a proposed rule change to Rule 2210 of the Conduct Rules of the National Association of Securities Dealers, Inc. to permit the approval of research reports by a supervisory analyst of the New York Stock Exchange to satisfy NASD requirements that research reports be approved by a registered principal.
SEC Approves Amendments to Establish Regulation NMS-Principled Rules in Market for OTC Equity Securities
Proposed Rule Change to Amend Incorporated NYSE Rule 312(g)(1)
Completely unfair - the public should be able to take whatever risk they see fit without being subject to excessive requirements. These rules would literally be limiting the public's access to high-risk/high-ROI investments for little reason. There should be tools available to anyone who is interested in going beyond traditional investing (i.e. daytrading, speculation, etc.). Adding
I oppose the proposed rule which restricts my rights to invest in instruments or funds to build various investment strategies. The restrictions only benefit institutions and high net worth who has access to (almost) unlimited investment strategies while we suffer the rising CPI due to the ongoing inflation. This rule will also enhance the investment literacy and knowledge gaps between the rich
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change proposing to amend NASD Rule 4632C (Transaction Reporting) and NASD Rule 4632D (Transaction Reporting) to reflect "as/of" (T+1) trade reporting and the automated reporting of trade cancellations to the NASD/NSX Trade Reporting Facility (the "NASD/NSX TRF
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 3012 to require members relying on the "limited size and resources" exception to Rule 3012's general supervisory requirement for conducting producing managers' supervisory reviews to report electronically to NASD their reliance on the
This new rule is unacceptable.
Proposed Rule Change Relating to the Submission of “Clearing-Only, Non-Regulatory Reports” to the FINRA Equity Trade Reporting Facilities
