Dear Ms. Mitchell,I appreciate the opportunity to comment on FINRA’s proposal to streamline the requirements governing outside business activities (OBAs) and private securities transactions (PSTs), as outlined in Regulatory Notice dated April 2025.I would like to express my support for the proposed exclusions, particularly the exclusion of registered persons’ personal investments in non-
The federal govts job is NOT to rule our lives. The right to pursue happiness & make investments is our right & is not to be controlled by ANY govt office. Im certain elected officials with exempt themselves from such control.
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Executive Summary
On June 22, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2210 (Communications with the Public) that permit the approval of research reports by a
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As a follow-up to my first letter of comments objecting to FINRA's proceeding further with any future added regulations on/to U.S. financial investment instruments such as those utilized(provided) by UltraPro, UltraPro Short, or Ultra Short Pro
Summary
To bring attention to a rising trend in the fraudulent transfer of customer accounts through the Automated Customer Account Transfer Service (ACATS), FINRA issued Regulatory Notice 22-21, which alerted member firms about how bad actors effect fraudulent transfers of customer assets using ACATS (referred to as ACATS fraud). That Notice listed several existing regulatory obligations that
Rule Filing Status As Of December 3, 1996
NASD Rule Filing Status
Following is a list of rule filings by the NASD regarding broker/dealer regulation that are pending at the Securities and Exchange Commission (SEC) or recently approved. The information set forth below is current as of December 3, 1996. Copies of rule filings (and any amendments thereto), the SEC release publishing the rule
Staff interpretation of the continuing commissions policy codified in NASD IM-2420.
To help members track the status of NASD®Rule filings submitted to the Securities and Exchange Commission (SEC), the NASD will publish this information bimonthly in Notices to Members.
Following is a list of Rule filings by the NASD regarding broker/dealer regulation that are pending at the SEC or recently approved. Copies of Rule filings (and any amendments), the SEC release publishing the
Last Voting Date: January 12, 1996
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Executive Summary
The NASD® invites members to vote to approve amendments to Articles VII and X and to delete Article V of the NASD By-Laws. The last voting date is January 12, 1996. The text of the proposed amendments follows this Notice.
Background
The proposed amendments to
INFORMATIONAL
Subordination Agreements
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Appendix D to the Net Capital Rule
Net Capital
Operations
Subordination Agreements
Subordinated Loans
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is proposing a rule requiring National Association of
