Hedge funds used obfuscation and blatant disregard for the rules to extract capital from retail. This became blatantly obvious with the manipulation throughout the last year. I am asking for more frequent public reporting of short positions and more detail in public reports. Increased enforcement of the current rules against naked short selling is a given.
NASD Rule 3070
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NASD Rule 3070
NASD Rule 2110
Executive Summary
NASD has undertaken two initiatives to improve the quality and flow of information to it about allegations of broker misconduct. First, on August 14, 2002, NASD filed with the Securities and Exchange Commission (SEC) a
FINRA Provides Limited Relief Regarding Requirement to Promptly Transmit Funds in Connection With Sales of Securities on a Subscription-Way Basis for the Purpose of Completing Suitability Reviews Under Identified Conditions
SEC Approves Amendments to FINRA Rule 2360 (Options) and FINRA Rule 4210 (Margin Requirements) in Connection With Over-the-Counter Options Cleared by the OCC
Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
This filing was withdrawn and replaced by SR-NASD-2006-007.NASD has filed with the SEC a proposed rule change to amend Rule 2860 to: (a) revise the definition of the term "underlying index" to include all indexes underlying standardized index options and other indexes that meet certain specified criteria; and (b) allow members to calculate the position limits, in accordance with volume
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Executive Summary
The Securities and Exchange Commission (SEC) is requesting comment on proposed amendments to Rule 15c3-1, the Net Capital Rule. The SEC proposes to create a new category of broker/dealer for affiliates conducting an OTC derivatives business that would have
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Executive Summary
NASD Regulation, Inc. (
I do not support SEC Proposed Rule S7-24-15. I should have the right to determine what public investments are right for me without going thru a special process like passing a test. I am capable understanding the risks involved with these securities. Leverage and inverse funds are an important to my investment strategies. I use them to hedge and seek higher returns as a limited portion of my
This rule is so un-necessary. Leveraged and inverse funds are extremely important to my families investment strategy. I use hedges and stop losses and paid advice from investors with over 30 yrs experience to carefully manage these funds. These are a small but very important part of my portfolio and it makes no sense to have to pass a test to make these well thought out and previously successful
