SEC Approves Rule Requiring Members’ Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck
The FINRA Board of Governors will consider the following rulemaking items at its July 2012 meeting.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend through January 25, 2008, the current rules regarding the use of multiple Market Participant Symbols ("MPIDs") in NASD Rules 4613A (with respect to the Alternative Display Facility ("ADF")) and 5140 (with respect to Trade Reporting Facilities
To Whom it May Concern. I do not like the current SEC to be changing the rules. In a democracy, people should have a right to invest their money as they see fit. Government is not responsible to protect people from everything. In the world of the financial markets, investors must follow the rule of Caveat Emptor. If government becomes too regulatory in a capitalist economy, then it is no longer a
I oppose SEC proposed Rule #S7-24-15. The small investor should not have rules applied to them that the SEC does not apply to the large investor. Indivindual investors(Adults) have the means to read a prospectus and do their own research. My analogy is ignorance of the law is no excuse when you break the law and get in trouble. Ignorance of an investor not knowing what they are investiing in is
GUIDANCE
Market Order Protection
Effective Date: January 9, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
Trading
IM-2110-2
Manning Rule
Market Orders
Rule 2111
Executive Summary
On August 9, 2005, the Securities and Exchange Commission (SEC) approved new Rule 2111, Trading Ahead of Customer Market Orders, which
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
(a) FINRA will request guidance from the MSRB in interpretation of the rules of the MSRB. FINRA also will provide information to the MSRB about the enforcement actions and examinations pertaining to municipal securities brokers, municipal securities dealers, and municipal advisors conducted by FINRA regarding the Exchange Act and the rules and regulations thereunder and the rules of the MSRB,
