This rule is unfair and biased against all people who are not already wealthy and have cheated the system to become more wealthy. Everyone should be allowed to participate in all facets of our economy or else we are not a free and fair democratic capitalist society. We would be an oligarchy that allows on the wealthy to benefit from the highest earning investment opportunities. This rule is
NASD has filed with the SEC a proposed rule change to amend NASD Rule 7010(k) relating to fees for the Trade Reporting and Compliance Engine ("TRACE") prior to the expiration of the pilot program for fees on December 28, 2002. NASD is proposing to extend the pilot program for TRACE fees to February 28, 2003 and to modify the pilot effective January 1, 2003. As a result of the proposed
Proposed Rule Change to Adopt NASD Rule 2320 (Best Execution and Interpositioning) and IM-2320 as FINRA Rule 5310 in the Consolidated FINRA Rulebook
Proposed Rule Change to Amend FINRA Rule 6710 to Modify Agency Debt Security Dissemination Protocols
SEC Approval of FINRA Funding Portal Rules and Related Forms
The staff granted an exemption from FINRA Rule 5131(b) with respect to purchases of “new issues” by the National Railroad Retirement Investment Trust.
Following the consolidation of NASD and NYSE Regulation into FINRA, FINRA established a process to develop a new consolidated rulebook, which is outlined in this Notice. The new FINRA Rules will apply to all FINRA members and will be proposed in phases to the SEC. As rules approved by the SEC become effective, they will replace the existing NASD Rules and incorporated New York Stock Exchange (
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to 1) amend Rule 6230 to initiate a two-year pilot program exempting certain TRACE-eligible securities from reporting requirements that otherwise would apply, and 2) amend Rule 6210 and 6230 to reflect the registration of the Nasdaq Stock Market, Inc. as a national
I understand that a key investment vehicle that I use in management of my portfolio may be restricted by the proposed rules. I hope that I and other individual investors will not be restricted by these changes. Many of the systems and trading rules advantage big investors while small investors are unable to achieve the scale or resources to obtain these benefits.
Please don't restrict
I would like to let the FINRA Regulators know that I would appreciate you not changing the rules of investing in leveraged funds. I have been successful in my past investments with Proshares TQQQ. If you change the regulations you would be depriving me of my livelihood. I also have a large amount of money invested in TQQQ at this time and if you change the rules you could cost me a lot of money.
