To Whomever this concerns, Please institute rules that will help investors in the American marketplace have faith that the system is not corrupt, that there is a level playing field, and that the government works for the people and not just wealthy and well-connected institutions and individuals. In this modern "information" era, the disparity in the available information to retail
U. S. BOSTON CAPITAL CORPORATIONLINCOLN NORTH, LINCOLN, MA 01773Mailing Address: 55 OLD BEDFORD ROAD, SUITE 202, LINCOLN, MA 01773U.S. BANCORP ADVISORS, LLC800 N BRAND BLVD., 16TH FLOOR, GLENDALE, CA 91203U.S. BANCORP INVESTMENTS, INC.60 LIVINGSTON AVENUE, EP-MN-N2WC, SAINT PAUL, MN 55107Mailing Address: 60 LIVINGSTON AVENUE, EP-MN-N2WC, SAINT PAUL, MN 55107U.S. BROKERAGE, INC.17 E KOSSUTH ST,
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Senior Management
Legal & Compliance
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Executive Summary
On July 11, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 34 of the NASD Rules of Fair Practice to exclude initial placements and secondary market transactions in direct participation program (DPP) securities that are listed or for
The guidance provided in these FAQs pertains to the reporting to FINRA of “short” positions pursuant to FINRA Rule 4560 (Short-Interest Reporting) in OTC Equity securities, as defined in Rule 6420, and securities listed on a national securities exchange.
Comment Period Expires March 31, 1994
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Senior ManagementInstitutionalLegal & ComplianceRegistrationTrading
Executive Summary
At its January 1994 meeting, the NASD Board of Governors approved the issuance of a Notice to Members soliciting comment on amendments to the foreign associate provisions in Part X of Schedule C to the NASD By-Laws. These amendments would
As a United States citizen with sound mind to make my own decisions on public investments that are right for me, I oppose the Financial Industry Regulatory Authority putting restrictions on what public investments I should be able to invest in. Public investments should be available to all of us and not just the privileged. I should not have to go through any special restrictions or approvals to
I'm starting to see a trend with our government officials trying to regulate what we can and cannot do with our hard working earned money and what little of it most of us have now because of what they've put us through in the past 3 years!!
What I see here of what's going on is nothing more than controlling the people because they are afraid that most of us will rise
Being retail investors, we are already restricted in many investment opportunities. We believed that we should be the ones who could choose the public investment that was right for my family and me. In America, freedom should be the most priority, and public investments should be available to all of the public, and not just the riches.
We are comfortable with our risk-tolerant. And it should be
We should not have to go through special processes that add cost and headaches for the regular public, which does not have hired investors and lawyers to manage everything for them to get richer while restricting the common man. The United States was built on self-responsibility and do not need a nanny to tell me what investments are too risky for me, such as BITO or leveraged investments. Being
Comment Period Expires October 17, 1994
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Senior ManagementCorporate FinanceInternal AuditLegal & ComplianceOperationsSystemsTrading
Executive Summary
The NASD® requests comment on a proposal to require the use of Standard Transferor and Transferee Applications for Transfer of Direct Participation Programs (DPP) Securities, Standard Registration Confirmation Form,
