REQUEST FOR COMMENT
Pandemic Regulatory Relief
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal and Compliance
Operations
Registration
Senior Management
Systems
Trading
Business Continuity
Capital and Financial Reporting
Requirements
Extensions or Credit and Securities
Delivery
Filing and Reporting Requirements
Licensing
Operations
Supervision
Trade Reporting
Temporary
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Operations
Options
Systems
Trading
Effective November 13, 1995, tier sizes for 900 Nasdaq National Market® securities will be revised in accordance with paragraph 245 Ia7 of the Rules of Practice and Procedure for the Small Order Execution System (SOESSM).
Under the SOES Rules, the maximum SOES order size for a
INFORMATIONALDistrict ElectionsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryThe purpose of this Special Notice to Members is to announce the nominees for the District Committees and the District Nominating Committees. The individuals identified in this Special Notice (see Attachment A) have been nominated for three-
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Senior ManagementLegal & ComplianceOperations*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to the Rules of Fair Practice to require member firms to send periodic account statements to customers. The last voting date is July 22, 1992. The text
Government regulators must not impose arbitrary restrictions on private investors.
Many capital investments carry risk. Leveraged and inverse funds are central to my investment strategies, and I do not need -- nor will I appreciate -- interference with my basic right to purchase, hold, and trade them.
There is no legally-coherent or ethically-defensible rationale for adding additional
I should be allowed to choose investments as I see fit including digital assets. I do not need regulators choosing what investments Im allowed to invest in. Im 100% opposed to regulators determining what I can invest in. This is not a socialist or communist country the USA is a democratic country!
Its so clear that if anyone expects a market downfall he must be able to protect his assets by buying inverted ETFs like fund managers with options and futures. Its a right retailer investor must have. Otherwise its a discrimination against them!
It is vital that I have access to inverse funds (not leveraged inverse funds) to manage my personal asset allocation. I managed money professionally for 25 years and am well aware of the attendant risks. Please do not restrict my ability to use these investment vehicles! Thanks....
Dear Sir/Madam, I oppose any restrictions to my right to invest in cryptocurrency funds or other popular investments deemed to be complex. As an investor, one should understand the risk with any form of investments but have the rights to select all available assets to invest in. Thank you.
Amendments to NASD Rules Regarding Margin Requirements
Effective Date: December 1, 2003
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KEY TOPICS
Legal & Compliance
Operations
Senior Management
Margin Requirements
Regulation T
Rule 2520
Executive Summary
On August 25, 2003, the Securities and Exchange Commission (SEC) approved amendments to
