ROUTE TO
Senior ManagementCorporate FinanceLegal & ComplianceOperationsResearchSyndicateTrading
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved an amendment to Article III, Section 35(d)(2)(D) of the NASD Rules of Fair Practice relating to testimonials used in members' communications with the public. The rule amendment limits application of the rule
you crooked pieces of reptilian [REDACTED] dont follow the rules why should the public
I am in favor of being able to invest in any and all of the assets described in the rule #S7.
Do not over regulate. apply rules that protect the consumer/issuer but let free market run
<p>Use of third parties to aid in compliance with NASD Rule 2790(b).</p>
Please stop all of the regulations that affect our frèedoms. The FINRA rule is un-American and unconstitutional!
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS APRIL 15, 1985
Enclosed herewith is a proposed amendment to Article III, Section 33 of the Rules of Fair Practice. This amendment has been approved by the Association's Board of Governors for submission to the membership for a vote. If approved, the amendment must then be filed with, and approved
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adjust one of the thresholds required to qualify for the Media/Contra fee cap under FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees).
Proposed Rule Change to Amend FINRA Rule 6121.01 (Trading Pauses)
Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
