Retail investors deserve proper and timely disclosure of information, the amount of Information that is misreported is incredibly misleading. Please do something about this broken system, institute changes that bring positive outlook to the future of the stock market, for all participants.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of June 24, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
ABAG.GA
Safety Componets Intl Inc
10.125
07/15/07
ALGX.GA
Allegiance Telecom Inc
11.750
02/15/08
AMH.
INFORMATIONAL
Online Suitability
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal & Compliance
Executive Representatives
Suitability
Online Communications
Executive Summary
In light of the dramatic increase in the use of the Internet for communication between broker/dealers and their customers, NASD Regulation, Inc. (NASD Regulation) is issuing a Policy
FINRA Revises the Series 7, 17, 37 and 38 Examination Programs
Effective March 1995
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Executive Summary
Some of the self-regulatory organizations (SROs) comprising the Intermarket Surveillance Group (ISG) agreed to adopt policies to ensure uniform reporting of all short interest in traded securities. The NASD has amended Article III, Section 41 of the NASD
The staff granted an exemption from FINRA Rule 5131(b) with respect to purchases of “new issues” by the National Railroad Retirement Investment Trust.
This could potentially deny me the freedom to choose investments, like leveraged ETF's, that could help me achieve long-term financial security. I should be able to choose investments based on the long-standing disclosure-based system, without jumping through even more hoops.
The current policy and way of doing things is fine enough in my opinion, so a change would do little to benefit the current system. There seems to be very few reasons for such a drastic change, and I think it would be in the publics best interest to reject and decline such an advancement.
Please stop doing this. You are infantalizing us with these rules, and only making it harder for the average person to participate in the market. The SEC only diminishes their credibility by pursuing arbitrary regulations on individual investors while shrugging their shoulders at the systemic risk posed by market makers.
