SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
Training
Executive Summary
On July 16, 1993, the Securities and Exchange Commission (SEC) approved an NASD rule change to implement real-time trade reporting for members' over-the-counter transactions in equity securities that were not previously reportable to the NASD in this manner.1 The equity securities
I do not want restrictions placed on securities like testing requirements. I use leveraged securities and understand and accept the risk. Please do not impose restrictions on my investments. Thank you.
No restrictions on my right to invest. I shouldn't have to go through any special process like passing a test before I can invest in public securities, leveraged and inverse funds.
It is unfair if institutional can easily get leverage. Regulators can ask special test for the individuals. Dont kill a free options for individuals in the name of their own benefits. That is not American way.
It is the right of every citizen to be able to choose their own investments. It is insulting to have to get approval, tested to make an investment.The last thing needed is more goverment control in our lives.
Sec. 1. (a) The Board shall be the governing body of the Corporation and, except as otherwise provided by applicable law, the Restated Certificate of Incorporation, or these By-Laws, shall be vested with all powers necessary for the management and administration of the affairs of the Corporation and the promotion of the Corporation's welfare, objects, and purposes. In the exercise
I've been investing since 1967. I understand the intricacies of all kinds of investments. I've passed the broker's test years ago and worked at an investment firm. This is supposed to be a free market!
INFORMATIONAL
Instant Messaging
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
Operations
Trading and Market Making
Electronic Communications
Communications with the Public
Recordkeeping
Executive Summary
NASD is clarifying for members their supervisory obligations and recordkeeping requirements
Please regulate the manipulation of our free market system. Companies should not be able to bypass rules set in place following 2008 or we risk another black swan event and lack of trust in our financial system.
(a) If an ADF Trading Center exceeds its Certified Peak Transaction Volume in one or more categories on one or more days in a given calendar month, the following excess capacity usage fees will apply:
Level
Percentage Exceeded
1 – 2 days
3 – 5 days
6 – 10 days
>10 days
1
<25%
N/A
$250
$500
$750
2
25% – <50%
$250
$500
$750
$1,
