SEC Approves Amendments to FINRA Rule 5110 to Permit Termination Fees and Rights of First Refusal
Exemptive relief is granted based on the following considerations: (1) the contributions were made prior to Individual's employment by the Firm; and (2) at the time of the contributions, Individual had no personal involvement in soliciting new, or participating in existing municipal securities business.
Reporting Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits Around the December 2012 Month-End Holidays
Guidance on Blogs and Social Networking Web Sites
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Rule 2211
Executive Summary
On July 26, 2006, the Securities and Exchange Commission (SEC)
approved amendments to NASD Rule 2211, which governs NASD
member institutional sales material and
Guidance on Reporting Short Interest Positions Held in Master/Sub-Accounts or Parent/Child Accounts
Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed ABS Transactions
Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules
I - not FINRA or Wall Street interests - should have the right to decide how to invest my money. If FINRA eliminates the ability to hedge portfolio volatility by restricting or eliminating access to leveraged and inverse funds, that is yet another example of having one rule for Main Street and another rule for Wall Street. Do not make this mistake.
It is important that traders and investors alike are allowed to trade funds without restrictions as we have been. We all take it upon ourselves to invest our resources and shouldn't have to pass any new imposing new rules to do so.
Any rules should be made at the beginning and not after a fund is already trading.
