Reject proposed rule as would limit investors abilities to hedge their investments against mkt downturns!
The only people that should be regulated is those politicians that make and break the rules and then profit from them!
This is not right that you would meddle in a free and open market I oppose your rule #S7-24-15
SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees
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Executive Summary
This Notice to Members
(a) Pursuant to the Rule 9600 Series, the staff for good cause shown after taking into consideration all relevant factors, may exempt, upon application and subject to specified terms and conditions, a member alternative trading system ("ATS") from the trade reporting obligation under Rule 6730, if such exemption is consistent with the protection of investors and the public interest. The
Starting January 3, 2017, if the parties jointly request an explained decision, FINRA will waive the $400 fee to the parties for an explained decision.
Proposed Rule Change Relating to Reporting Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine
Summary
This Notice provides guidance to help member firms comply with FINRA Rule 2210, Communications with the Public, when creating, reviewing, approving, distributing, or using retail communications concerning private placement offerings.
Questions concerning this Notice should be directed to:
Amy C. Sochard, Vice President, Advertising Regulation, at (240) 386-4508; or
Ira D. Gluck,
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Section 4 of Schedule A to the NASD By-Laws to increase the session fee for the Regulatory Element of the continuing education requirements of Rule 1120.
