NASD has filed with the SEC a proposed rule change to require the posting of certain investor disclosure statements on members’ Web sites. Specifically, the proposed rule change would amend (1) Rule 2341 (Margin Disclosure Statement) to require members that permit customers to open accounts on-line or to engage in transactions in securities on-line to post the margin disclosure statement on their
Proposed Rule Change to Update Cross-References Within Certain FINRA Rules and to Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
This new rule is unacceptable.
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
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
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend: (1 ) NASD Rule 6210(a), the definition of "TRACE-eligible security," by (A) deleting the requirement that a debt security be registered under the Securities Act of 1933 ("Securities Act"), thus including debt securities that are
FINRA has identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70 percent of crypto asset communications it reviewed, according to a report published today on the results of a targeted exam.
SR-FINRA-2009-005 - Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
