I oppose adoption and enforcement of SEC Proposed Rule #S7-24-15. It unreasonable resists access to trading instruments.
I disagree with this proposed rule. This is another attempt to rig the markets and shut-out retail traders. This is totally absurd and corrupt.
I oppose being regulated or restricted not being able to trade in securities that I want to invest in. I strongly oppose this ruling!!!
This rule can lead to exploitation by high volume buyers and market makers. This will disproportionately affect retail investors
I oppose this ruling. This will force many retail investors that are looking for leverage into more dangerous vehicles, such as futures and options.
Proposed Rule Change to Amend the Definition of "Associated Person," Streamline a Case Administration Procedure, and Clarify that Customers Could be Assessed Hearing Fees Based on Their Own Claims for Relief in Connection with an Industry Claim
TO: All NASD Members
The Securities and Exchange Commission has adopted amendments to the NASD Rules of Fair Practice and Code of Procedure which were approved by a membership vote pursuant to Notice to Members 85-43, dated June 12, 1985.
The new rules provide the NASD with an additional regulatory tool in monitoring the financial and operational condition of members that are not designated to
INFORMATIONAL
Three Quote Rule
Effective Date: November 24, 2000
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Trading & Market Making
Best Execution
NASD Rule 2320
NASD Rule 3110
Trading
Executive Summary
On September 21, 2000, the Securities and Exchange Commission (SEC) approved amendments to National
Proposed Rule Change to Adopt FINRA Rule 2272 to Govern Sales or Offers of Sales of Securities on the Premises of Any Military Installation to Members of the U.S. Armed Forces or their Dependents
Proposed Rule Change to Delay the Implementation Date of Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050
