Rule s7-2415 You not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged.
This rule would seriously prevent me from being able to retire. It is bad enough that inflation is so high due to government policies making it a stretch to be able to retire at all.
Since I feel that this entire industry is lacking in regulation (or is it enforcement?), I'm in full agreement of this rule. I only am a small investor, but I think transparency is the key to most things.
Thank you.
As usual change the rules when the stock market quits going up. Inverse funds help people protect assets during market corrections. Leave things alone please.
Proposed Rule Change to Adopt FINRA Rule 6490 Relating to Processing of Company-Related Actions and Implementing Fees for Such Services
SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
I believe that the current rules and practices should remain in effect. It is up to the investor to adequately educate themselves before investing in any product or obligation. There are currently adequate sources to educate oneself.
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Executive Summary
On September 8, 1995, the Securities and Exchange Commission (SEC) approved NASD® Rule 3070 (formerly Article III, Section 50 of the NASD Rules of Fair Practice) (the Rule) for reporting customer complaint information and other specified events to NASD Regulation, Inc. (NASD Regulation). The
To Whom it May Concern,Thank you for the opportunity to comment on Regulatory Notice 24-13, “Effectiveness and Efficiency of [FINRA] Requirements Relating to Day Trading.” I am a strong believer in the benefits of engaging the community in this way, and sincerely appreciate the authority's time and attention. Over the past 20 years I have worked in the equity options
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Interpretive Material 3013 ("IM-3013") to clearly establish the timing with respect to the requirement to submit to the member's board of directors and audit committee a report that evidences certain processes that form the basis of a
