I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members
BACKGROUND
On November 18, 1983, the Securities and Exchange Commission issued Release No. 34-20397 announcing the adoption of Rule 15c2-2 (the "Rule") under the Securities Exchange Act of 1934 (the "Act") (17 CFR Part 240). Rule 15c2-2 prohibits broker-dealers from using mandatory arbitration clauses in
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective June 1, 1995, the Securities and Exchange Commission (SEC) is adopting Rule 17a-23 and Form 17A-23 under the Securities Exchange Act of 1934. The Rule requires broker/dealers that operate automated trading systems to maintain participant, volume, and transaction
FINRA Announces Two New Trade Reporting Modifiers Related to Regulation NMS
Proposed Rule Change to Amend Rule 6730 of the Trade Reporting and Compliance Engine (TRACE) Rules
I am able to make my own investing choices. I would never invest in any type of investment that I have not done my own research on and feel comfortable with.
We do not need more unnecessary rules.
I use leveraged funds as a strategic portion of my investments. Overall, it makes up a very small part of my net worth. Please do not change the rules on me. This does not protect people like me.
I am adamantly against the proposed rule to end inverse and other similar products. During volatile market periods, these products have helped to protect my portfolio. Thank for the opportunity to express my viewpoint on this matter.
GUIDANCE
Fee Increase for Extension of Time Requests
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Extension of Time Requests
Fees
Regulation T
Schedule A to NASD By-Laws
SEC Rule 15c3-3
Executive Summary
On May 15, 2006, NASD filed with the Securities and Exchange Commission (SEC) for immediate
Comments:i been making money on TQQQ and SQQQ. makes no sense to impose this nonsense rule. also dont even try to care about peoples finances when crippling student loans / predatory loans are everywhere.
I strongly oppose any changes to my investment decisions. I should have the right to invest in any securities that I choose whether good or bad.
Current rules and regulations govern investors.
My investments, my decisions!
