INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education Testing/Qualifications
Legal & Compliance
Senior Management
Continuing Education
Firm Element
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
GUIDANCE
Trading Volume and Interest
SUGGESTED ROUTING
KEY TOPICS
Advertising
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Communications with the Public
Manipulative and Deceptive
Quotations
Publication of Transactions and
Quotations
Rule 2120
Rule 2210
Rule 3310
Trading Interest
Trading Volume
Use of
Do not become a fascistic body married to only allowing the already well-todo profit from leverage. When its obvious with Archaegos as just one example that you all are just as degenerate as the retail if not more grossly so. Stop trying to steal the working mans ability to make a buck, because your entire cottage industry is being exposed for just how fraudulent and slanted it is. Just like the
Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination
I am totally opposed to this proposed rule. I use this products and very much educated about its risks. We as investors should have the right to choose which investments to trade on.
These types of funds need no additional regulations. Caveat emptor should be the rule of the day. These funds can be incredibly useful to skilled individuals. Don't make this any harder than it needs to be.
Don't want those regulations and could you please do away with the $25,000 in your account day-trading rule? Why is it that always the little guy gets the short end of the stick?
Arbitration Panel Composition for Promissory Note Disputes
GUIDANCE
OATS Reporting Requirements
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
OATS
Rules 6950–6958
Rule 9610(a)
Executive Summary
In November 2005, NASD issued Notice to Members (NTM) 05-78 announcing Securities
GUIDANCE
Short Interest Reporting Requirements
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Short Interest
Rule 3360
Executive Summary
On February 3, 2006, the Securities and Exchange Commission (SEC)
approved amendments to Rule 3360 relating to the short interest
reporting
