Effective: Immediately
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
On October 22, 1997, the Securities and Exchange Commission (SEC or Commission) approved an NASD Regulation, Inc. (NASD RegulationSM) proposed amendment to National Association of Securities Dealers, Inc. (NASD®) Rule 2320 (Three
I am an investor who trades with New York Stock Exchange shares. In order for markets to truly be free and fair, there needs to be a level playing field for all entities involved. This is agnostic of the risks involved. Deviating from that impacts trust as it can be interpreted that retail investors have different rules from other investor entities. I do not support this rule as it's
We should not be restricting individuals whatsoever, everyone should have a choice and have the opportunity to make their own decision and take responsibility in what they want to pursue and invest in. Investing is not just for the wealthy, besides, most of the wealthy started small. In this case you'd be restricting others from benefiting themselves and removing potential large higher
We do NOT need regulators to monitor or rule our accounts
SEC Approves Rule Change to Modify the Dissemination Protocols for Agency Debt Securities
NASD Rule 2210 - Communications with the Public
Rules of leverage and options should not be changed at this time for qualified investors.
The proposed rule changes are unnecessary. The risks are already clearly stated
I am totally against these new rules. More liberty, not less.
Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
