Proposed Rule Change Relating to District Committee Structure and Governance
Completely unfair - the public should be able to take whatever risk they see fit without being subject to excessive requirements. These rules would literally be limiting the public's access to high-risk/high-ROI investments for little reason. There should be tools available to anyone who is interested in going beyond traditional investing (i.e. daytrading, speculation, etc.). Adding
Comment Period Expires: December 31, 1997
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NASD Regulation, Inc. (NASD RegulationSM) requests comment on a proposed new rule, National Association of Securities Dealers, Inc. (NASD®) Rule 1150 (Rule), which would provide NASD members with a qualified
Effective Date: February 15, 1998
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On December 31, 1997, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (
I oppose the proposed rule which restricts my rights to invest in instruments or funds to build various investment strategies. The restrictions only benefit institutions and high net worth who has access to (almost) unlimited investment strategies while we suffer the rising CPI due to the ongoing inflation. This rule will also enhance the investment literacy and knowledge gaps between the rich
Online Arbitration Claim Filing Pilot Program
What is the point of a regulatory authority if not to enforce rules and protect the consumer? Rules are made for the betterment of society, not as a way to placate the masses of thinly veiled corruption. The best time for action was before 2008. The second best time is right now. Enough is enough.
NASD has filed with the SEC a proposed rule change discussing the implementation of new and revised qualification examinations to address trading in security futures.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend Rules 2320(g) and 3110(b) to: (1) require that members executing a customer order in a non-Nasdaq security contact and obtain quotations from three dealers (or all dealers if three or less) to determine the best inter-dealer market for the security, unless two or more
To Whom it May Concern. I do not like the current SEC to be changing the rules. In a democracy, people should have a right to invest their money as they see fit. Government is not responsible to protect people from everything. In the world of the financial markets, investors must follow the rule of Caveat Emptor. If government becomes too regulatory in a capitalist economy, then it is no longer a
