TO: NASDAQ Subscribers and NASD Members
FROM: Molly G. BayleyVice President, NASDAQ Operations
NASDAQ market makers and NASD Members have expressed an interest in receiving copies of the Monthly Statistical Report to Issuers (MSR) on a regular basis. This Report has been compiled and sent on a monthly basis to NASDAQ company executives for several years. Each Report contains daily, weekly and
GUIDANCE
Cost Basis Information
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Cost Basis Information
Rule 2110
Executive Summary
It has come to NASD's attention that some members may be purposely interfering with the transfer of cost basis
I am a personal investor with decades of saving, trading and investing and would like LESS government regulation or limitations. I do not want, or need FINRA or SEC or other agency to limit my access to investment vehicles such as leveraged exchange traded funds. My investments into ETFs, stocks, bonds, futures, real-estate and other asset classes are my personal choice and decision. I am against
SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
To whom it may concern,
I just received notice via an email that someone feels it may be necessary to hold my hand or to test my investing knowledge before I will be allowed to make certain investments with my own funds. I would like to make it clear that I am totally opposed to such a new regulation and do not appreciate even the thought of this possibility. I am free to gain or lose my
(a) No member or person associated with a member shall cause to be executed an order to buy or sell a security or a related financial instrument when such member or person associated with a member causing such order to be executed has material, non-public market information concerning an imminent block transaction in that security, a related financial instrument or a security underlying the
I feel that I, not regulators, should have the right to choose the public investments that's best for my family. Publix investment s should be available to all the public, not just the privileged.
I should not have to pass a test in order to invest in public securities, including cryptoocurrency. I am capable of understanding the risk in these types of investments. And I can also
I oppose any action that limits the right of any America citizen to invest in Public investments. I am fully capable of making my investment decisions on my own and am fully capable of understanding the risks should I choose to make them. I do not need to pass a test to demonstrate my investment acumen. The results of my investments will be the testament of my knowledge. This is beyond the role
I have been investing a long time and have bought individual stocks, bonds, ETFs. I have shorted the Market through ETFs. I realize the risks involved. Currently we are in a period where the major market indices are falling. Now is the perfect time to protect part of your portfolio with an ETF that shorts the market. It is like insurance on your home. The goal is to protect your investment. I
