INFORMATIONAL
Exchange Act Rules 11Ac1-5 And 11Ac1-6
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Disclosure of Order Execution and Order Routing
Exchange Act Rules 11Ac1-5 and 11Ac1-6
Executive Summary
NASD Regulation Inc. (NASD RegulationSM) is issuing this Notice to Members to inform members about
Dear FINRA,
I am an RIA with a CFF certification and I am opposed to this. The proposed rule would put regulators in charge of my clients' funds. As a 12 year industry veteran, I understand the risks involved with these investments; consequently, any client considering these investments (which is rare, I might add) is *well aware* of the risks involved. Please consider not adding
INFORMATIONAL
MSRB Rule G-37 Exemptive Relief
SUGGESTED ROUTING
KEY TOPICS
Fixed Income
Internal Audit
Legal & Compliance
Municipal/Government Securities
Senior Management
MSRB Rule G-37 Exemptions
Political Contributions
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is publishing a National Adjudicatory Council (NAC) decision in which the NAC
NASD has filed with the SEC a proposed rule change to Schedule A to NASD By-Laws to amend its member regulatory pricing structure. Under the current structure, three types of fees and assessments are used to fund NASD’s member regulatory activities: Regulatory Fee, Personnel Assessment, and Gross Income Assessment (GIA). The proposed restructuring is comprised of four important amendments: 1)
Guidance Relating to Illiquid Investments
Please note: MSRB Rule G-32 has replaced MSRB Rule G-36, effective June 1, 2009; as a result, the MSRB G-36 Report Card is no longer being published.
To FINRA, While it may seem to you and any so called 'regulatory' body that you hold the ultimate decision in what free citizens can and cannot do with their property, this is not the case. Under the Constitution, of which you are subordinate, you may not unduly infringe upon the rights of the individual citizen to dispose of their property as they see fit unless they have violated the
As a retail investor, I support these rule changes. Legal investing can only be accomplished in a regulated, transparent, non-manipulated market with rules that are agreed upon and ENFORCED. Everyone is entitled to know where all the bananas are and how they are being bought and sold.
Fines for illegal practices cannot be less than profits gained. As long as this is the case, any new rules and regulations are meaningless. While increased transparency is a nice gesture, it is entirely pointless if rules and regulations are not enforced or considered "cost of business".
On September 5, 2000, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) a rule proposal that would require members to deliver to non-institutional customers a specified disclosure statement that discusses the operation of margin accounts and the risks associated with trading on margin. Members would be permitted to develop an alternative margin
