SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Specified Pool Transactions and SBA-Backed ABS Transactions and to Reduce the Time to Report Such Transactions
<p>Application of NASD Rules 3370(b)(1) and 3370(b)(2)(A) to orders received by a Nasdaq market maker from other registered broker/dealers.</p>
Hello, I appreciate the opportunity to comment on this issue. The premise behind the day trading rule is based on protecting the investor, but this limits a lot of small investors from learning the trade. Let's be honest here, there's a lot of "day traders" who aren't successful because they are gambling. Well, at least with the stock market, people are able to make
I strongly oppose SEC proposed rule #87-24-15. I earned my money and should be able to invest it as I see fit. Restrictions from the SEC hinder rather than help individual investors including myself. As regards Congress, I would not vote for anyone who supported SEC proposed rule #87-24-15. US citizens would benefit from fewer regulations and restrictions rather than more. Honor liberty and
Proposed Rule Change to Extend a TRACE Pilot Program
(a) Definitions(1) For purposes of this Rule, the term "registered person" means any person registered with FINRA as a representative, principal, or assistant representative pursuant to the FINRA Rule 1200 Series or Municipal Securities Rulemaking Board (MSRB) Rule G-3.(2) For purposes of this Rule, the term "disciplined firm" means:(A) a member that, in connection
Proposed Rule Change to Amend the Implementation Provision in FINRA Rule 1230(b)(6) (Operations Professional)
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GUIDANCE
Expungement
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Affidavits
Arbitration
Central Registration Depository System (CRD® or CRD system)
Customer Dispute Information
Dispute Resolution
Expungement
Rule 2110
Rule 2130
Executive Summary
On
