Proposed Rule Change to Extend the TRACE Pilot Program in FINRA Rule 6730(e)(4)
Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
I am concerned that regulations will be passed that restricts my rights to purchase crypto currencies. Please vote down proposed rule S7-24-15.
FINRA proposed rule #22-08 will lock out working class people who want to invest for a better future this is an elitist despicable, and un-American!
<p>Applicability of NASD Rule 3070 to the operations of a mutual fund variable product distributor broker/dealer with a separately registered transfer agent.<br/></p>
Based on the information provided in your application, and conditioned upon Tradeweb Direct providing the items listed below, the staff has determined that Tradeweb Direct meets the specified criteria and hereby grants, pursuant to FINRA Rule 9610, Tradeweb Direct an exemption from the trade reporting obligation under FINRA Rule 6730, subject to the monthly transaction reporting obligation and remission of the transaction reporting fees based on the fee schedule set forth in Rule 7730(b)(1) for each exempted sell transaction occurring on the ATS.
GUIDANCE
NASD's Trading and Quotation Halt Authority Expanded
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
IM-6660-1
OTC Equity Securities
Quotations
Rule 6660
Trading Halts
Executive Summary
On December 18, 2006, the Securities and Exchange Commission
(SEC) approved amendments to NASD Rule 6660
Proposed Rule Change Relating to Order Reporting Requirements on the Alternative Display Facility
Leveraged and inverse funds are important to my investment strategies. I oppose any restrictions on my options for investing. Rules are already strict enough.
(a) All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to NASD Rule 1017.
(b) An existing FINRA member that seeks to change its status to a capital acquisition broker and is already approved to engage in the activities of a capital acquisition broker, but which does not intend to change its existing ownership, control or
