TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, September 2, 1986, 27 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,550. These 27 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
TO: All NASD Members
The SEC Release of December 18, 1984
On December 18, 1984, the Securities and Exchange Commission issued Release No. 34-21583; File No. S7-787, entitled "Designation of National Market System Securities." This Release confirms the decision taken by the Commission at an open meeting on November 16, to approve the following additional criteria for the voluntary
(a) Supervisory System
(1) Each funding portal member shall establish and maintain a system to supervise the activities of each associated person of the funding portal member that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with the Funding Portal Rules. A funding portal member's supervisory system shall provide, at a minimum, for
The whole point of having access to decentralized finance is so we have an opportunity to take some of our fiat currency and attempt to preserve our assets value in the midst of inflation. Please keep your hands out of my pockets. I already pay every tax under the sun.
Individual investors nowadays have the smarts to make their own decisions about asset allocation and the investment vehicles they choose.
Leveraged and inverse funds are a important tool to my investment strategies. Government should not take it away from small investors like me, leaving the option to the privileged only.
Dear Sir/Madam,
I oppose any restrictions to my right or ability to invest in leveraged and inverse funds, or other popular investments deemed to be complex. As an investor, one should understand the risk with any form of investments and have the rights to select all available public assets to invest in. Thank you.
Please dont take away my ability to invest how I want. Im an adult and responsible for my own decisions. Im sure very wealthy people will still have the ability to invest in more complex assets. Please allow the rest of us to have those options too.
Don't you dare. Keeping people out of opportunity will have radically negative effects. Its not fair or American in any way to restrict the public from obtaining assets they believe in. You can't keep pushing people so far, eventually violent protests or extreme action will occur.
(a) General Provision
(1) Each member required to join the Securities Investor Protection Corporation shall maintain blanket fidelity bond coverage which provides against loss and has Insuring Agreements covering at least the following:
(A) Fidelity
(B) On Premises
(C) In Transit
(D) Forgery and Alteration
(E) Securities
FINRA’s Corporate Financing Department protects investors and promotes vibrant and efficient capital markets by reviewing the capital-raising activities of FINRA member firms and assisting them in complying with FINRA rules and federal securities laws
