Comment Period Expires: April 30, 1997
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Senior Management
Legal & Compliance
Operations
Training
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on new NASD® Rule 3121 that would govern a member's use and release of customer
Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
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May 17, 2006
Dear NASD Member:
As you know, there have been numerous events that have greatly impacted the industry in recent years. These events have resulted in new and amended regulations implemented by Congress, the SEC, or NASD for which we must examine. Since NASD conducts routine examinations of firms on one, two, and four year
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On December 2, 1996, the Securities and Exchange Commission (SEC) approved new NASD® Conduct Rule 2211 to impose time restrictions and disclosure requirements regarding telephone calls to customers by members and their associated persons. The SEC also approved amendments to NASD Conduct Rule
2015 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Proposed Rule Change to Adopt FINRA Rules 2262, 2269 and 5260 in the Consolidated FINRA Rulebook
I was a previous financial advisor. We became heavily regulated back in the day. The rules are in place and I understand, however when you infringe on peoples personal rights to invest by taking it a step further with the rules and regs already in place, now you are constitutionally wrong with the publics freedom to make fair choices on their personal investments and limiting them in this
I am a small private investor with a great deal of experience however I might not measure up to your new strict standards.That concerns me as I use these investments as short term hedging vehicles. I shouldn't have to go through a special process to qualify, what brokerages have in place now is very adequate. Your proposed new rules would make these products the exclusive trading grounds of
I oppose the proposed rule. I, and I alone, should be able to choose the public investments that are right for my family without having to pass a test or go through any special process. Leveraged and inverse funds are an important part of my overall investment strategy. The proposed rule would restrict public investments to a privileged few and prohibit market access to many. No government,
FINRA Requests Comment on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration
