I oppose this rule. This is just another way to protect Wall Street and suppress retail investors. Retail investors have more than enough FREE information and support to understand any investment strategy.
Sirs- increased standards for qualified investors is one thing, making the precess to invest as one onerous is another. The proposed rules are onerous and seek to discourage investments by smaller qualified investors. Thank you
we have lost faith in the markets , Transparency is very important . Please help us . short sellers are ruling the markets and have full control over it .
NASD has filed with the SEC a proposed rule change to extend the pilot rule in IM-10100, paragraphs (f) and (g), of the NASD Code of Arbitration Procedure (Code) to require industry parties in arbitration to waive application of contested California arbitrator disclosure standards, upon the request of customers or, in industry cases, of associated persons with claims of statutory employment
There is no transparency within the market. End Dark pools. Strictly enforce SSR Enforce FTDs without delay. Make everyone, not some, play by the rules properly
INFORMATIONAL
Decimalization
Survey Deadline: July 28, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
In response to the Securities and Exchange Commission (SEC) Order requiring a decimalization "phase-in
FINRA (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to delete in their entirety the NASD Rule 4000D, 6000D and 7000D Series and the Limited Liability Company Agreement of The NASD/BSE Trade Reporting Facility LLC (the "NASD/BSE TRF LLC
We want T-0 settlement. We want transparency. We want jail time and not fines for breaking rules. We want a fair stock market.
Proposed Rule Change to Require Members to Report the Factor to TRACE in Asset-Backed Security Transactions (except if traded TBA), in the Limited Instances When Members Effect Such Transactions as Agent and Charge a Commission
Proposed Rule Change to Amend FINRA Rule 12403 of the Code of Arbitration Procedure for Customer Disputes to Simplify Arbitrator Selection in Cases with Three Arbitrators
