IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS APRIL 15, 1985
Enclosed herewith is a proposed amendment to Article III, Section 33 of the Rules of Fair Practice. This amendment has been approved by the Association's Board of Governors for submission to the membership for a vote. If approved, the amendment must then be filed with, and approved
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Mutual Fund
Operations
Syndicate
Systems
Trading
Training
Executive Summary
On May 11, 1995, the Securities and Exchange Commission (SEC or Commission) approved amendments to its rules that would implement two alternative methodologies proposed by the securities industry to expedite
The Neutral Corner - Volume 2—2023
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to require principal pre-use approval of member correspondence to 25 or more existing retail customers within a 30 calendar-day period.
I support the FINRA Proposed rule #22-08
I oppose this ruling on who can invest
Don't need anymore Government rules
Fair Play. I don’t think a hedge fund should be involve in market maker ( conflict of interest) . Privilege to have first hand information. Short positions must be disclosed. Media should be regulated, they are not financial advisor. They can’t tell people what to buy or what to forget. And the most important. Laws and rules must be followed. Institutions must act accordingly , the employees of
When companies are fined millions for breaking rules that netted them billions, there is no reason to not break those rules. Naked Shorting is predatory upon companies and investors alike. Make the penalty greater than the theft. Along with potential criminal referrals. This is only way to clean up the marketplace. It's gone on far too long. While 70 million to average people sounds extreme
The retail trader is currently at a huge disadvantage with seemingly insurmountable odds stacked against them. There needs to be full transparency in the markets regarding, short interest reporting, synthetic reporting, dark trading data, retail brokers selling to dark pool data, etc.. There should also be full enforcement of current rules in place and much higher fines for breaking the
