this rule is anti-competetive and unfair to the smaller retail investor. I strongly oppose it and its unfair restrictions it would pose to me as an individual investor. Please do not implement this rule in its current form. People like me have the right to make investment decisions as we see fit with our own money.
I am very much opposed to proposed rule #S7-24-15. As an active investor I strongly object to any legislation or rulings which impede my ability to invest in vehicles which I deem beneficial to me. If we limit or prevent our economic freedoms , our political freedoms will soon be limited as well.
As a result of a recent review of gift and gratuity practices of over 40 member firms, NASD staff is concerned that members may not be fulfilling their obligations to comply with, and establish adequate supervisory systems and procedures reasonably designed to achieve compliance with, NASD’s rule governing gifts and gratuities – Conduct Rule 3060 (the “gift rule”). Rule 3060 prohibits
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., is filing with the SEC a proposed rule change to Conduct Rule 2710. The proposal will provide greater clarity and predictability regarding when securities acquired by members and their affiliates in private placements will be deemed to be underwriting compensation. While securities acquired by an underwriter within 180 days
Proposed Rule Change to Create a $100 Fee and Honorarium for Late Cancellation of a Prehearing Conference
Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
NASDR has filed with the SEC a proposed rule change to clarify the cover pages of Forms U-4 and U-5.
I am concerned that these proposed rules would give FINRA a big step toward micromanaging what is an allowable investment for the average citizen. I believe the existing rules are sufficiently protective (if properly followed by the industry) of the average investor. So there is not a pressing need to add this type of complexity to the investment process in order to deal with "complex"
<p>Applicability of Rule 3230 to a three-party clearing agreement.</p>
<p>Short Sale Netting Requirements and Aggregation Units<br />
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