This makes no sense and goes against free trading rules
FINRA is issuing this Notice to remind member firms of their supervisory obligations under FINRA Rules 3110 (Supervision) and 3120 (Supervisory Control System) if they hold or transact in customer accounts owned by municipal entities or obligated persons (municipal clients), as defined in Section 15B of the Securities Exchange Act of 1934 (Exchange Act), and participate in investment-related
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Executive Summary
On July 3, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 34 of the NASD Rules of Fair Practice and Part I of Schedule D to the NASD By-Laws to exclude investment companies and business development
GUIDANCE
Research Analysts and Research Reports
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Executive Summary
NASD
Comments on Day Trading Disclosure StatementPlease see comments with underline or strikethrough.Day-Trading Risk Disclosure StatementYou should consider the following points before engaging in a day-trading strategy. For purposes of this notice, a "day-trading strategy" means an overall trading strategy characterized by the aggressive and regular transmission by a customer of intra-day
Proposed Rule Change Relating to Fee for Investment Banking Representative Examination
New S901 Regulatory Element Continuing Education Program
Comment Period Expires September 13, 1999
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Executive Summary
Im opposed to the rule, let everyone invest freely.
TRACE Reporting and Dissemination of Non-member Affiliate Transactions
