TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JUNE 23, 1986
The National Association of Securities Dealers, Inc. (NASD), is publishing for comments a proposed amendment to the Interpretation of the Board of Governors, Free-Riding and Withholding (Free-Riding Interpretation) 1/ that would provide members an alternative means of complying with the Interpretation for
FINRA Addresses Frequently Asked Questions About TRACE Reporting Issues
Nominees for the District Committees and District Nominating Committees
FINRA member firms should be aware of a supply chain attack leveraging data exfiltrated from Salesloft Drift—a third-party platform that connects the Drift AI chat agent with a Salesforce or Google Workspace instance, among others. The breach described below exposed data that could increase the risk of credential stuffing, spear phishing and social engineering attacks against member firms and their vendors. To date, we are aware of multiple impacted third-party vendors used by FINRA firms. FINRA has notified the member firms who use the affected vendors or Salesloft.
I am strongly opposed to any regulations that restrict my ability to buy or sell any form of financial security. Only I truly know what is best for my financial stability and what I am and am not able to participate in. Financial advice is one thing, and I am always open to such, as well as additional education and training, but at the end of the day I should be free to make my own choices when
Weighted-Average Price/Special Pricing Formula Trade Modifier
I not a regulator should be able to choose the public investments that are right for me. Public investments should be available to all of the public, not just the privileged. Wall Street financial advisors are a joke. Anyone can lie the way they do to their clients. I should have access to the same financial products they do. I can decide my financial future better than anyone. Precluding the
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REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposal to add a new section to Part I of Schedule C to the
Comments:
While optics are ever present around good consumer advocacy policy, creating regulatory burden is not a good way to go about this.
In the strong capitalistic financial environment that the US exists in, retail investors should have the ability to put their money in Leveraged-Inverse ETFs if they so choose as long as they are aware of the long-term risks of holding such financial
I mean where do I start. Really it at all falls on these hedge funds, "family offices", the corrupt DTCC, banks and market makers that really need to be investigated, watched and monitored constantly like they are small children to make sure their shady activities can't be executed with ease and no repercussions. If fines are handed down make the amounts astronomical so they stop.
