Uniform Practice Code Rule 11870 requires a member to adopt specific measures to facilitate the portability of all transferable securities, including mutual fund shares.<br/>
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, September 1, 1987, the following 23 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,039:
Symbol*
Company
Location
APWRA
Effective Date: February 1, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceSyndicate
Executive Summary
On November 10, 1993, the Securities and Exchange Commission (SEC) approved an amendment to Subsection (b)(7)(C) to Article III, Section 44 of the Rules of Fair Practice clarifying that the exemptions from the filing requirements of
IMPORTANT
PLEASE DIRECT THIS NOTICE TO ALL FINANCIAL AND OPERATIONAL OFFICERS AND PARTNERS
TO: All NASD Members and Other Interested Persons
Since the issuance of Notice to Members 84-48, requests for clarification have been received concerning that portion of the Notice dealing with the treatment to be accorded commissions payable.
After further discussion with the staff of the SEC's
Please see below for comments in response to Regulatory Notice 22-08. Thank you for the opportunity to provide feedback. Definition of complex should be objective- if use of derivatives is a criterion it should be applied to all funds that do so. This suggests that more useful criteria would focus on factors like maximum risk of loss, risk of the fund not being able to meet its stated objectives
While I understand the nature of trying to protect investors from themselves on investing in certain investment strategies, the criteria presented as possible restrictions potentially goes too far. Investment knowledge does not always equate to net worth size noting that the greatest generation is passing more and more assets to younger generations including some that have very little investment
Corporate mergers and acquisitions can have a significant impact on the value of stock held by investors. But apart from the potential for sudden price changes for impacted shares, what else do investors need to know about mergers and acquisitions?
Several rules require notification to FINRA and the U.S. Securities and Exchange Commission (SEC) based on certain financial and operational obligations. FINRA’s Regulatory Notifications application in FINRA Gateway provides a filing system for member firms to electronically submit this information to FINRA. For guidance related to submitting required notifications to the SEC, firms should visit the SEC’s website or contact the SEC.
ZANBATO SECURITIES LLC711 / 715 N. SHORELINE BLVD., MOUNTAIN VIEW, CA 94043ZATARA CAPITAL SECURITIES L.P.120 NEWPORT CENTER DRIVE, SUITE 50, NEWPORT BEACH, CA 92660ZELMAN PARTNERS, LLC27101 EAST OVIATT ROAD, SUITE 14, BAY VILLAGE, OH 44140ZENITH SECURITIES LLC1061 E INDIANTOWN ROAD, SUITE 318, JUPITER, FL 33477ZEUS FINANCIAL, LLC4800 T-REX AVENUE, SUITE 100, BOCA RATON, FL 33431ZINK DISTRIBUTION
I prefer making my own investment decisions versus regulators who can manage their own assets BUT need to learn to leave my decisions up to me. Unless they are actively trading their own assets and clients' retail assets, I find their wanting to rule on these matters self-serving, ignorant to peoples' rights to educate, learn and wisely choose and highly unreliable to ethical
