Please let the investors make their decisions and and evaluate the risks associated. The freedom of the markets is a tremendous right we have and any further degradation of such, is opposed by me and if given the opportunity to vote would vote to oppose this proposed rule.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to NASD's Plan of Allocation and Delegation of Functions by NASD to Subsidiaries ("Delegation Plan") and certain NASD rules to reflect NASD's direct authority for the activities related to or in support of trading in over-the-counter ("OTC")
Want more frequent public reporting of short positions and more detail in public reports. Also want rule for brokers to mandatorily have no share lending by default with an option to opt in.
My comment on the rules is to actually enforce them. Honestly, take a look at obvious naked short selling and market manipulation. We the people have lost trust in a "free" market.
Application of Rule 2370 to lending arrangements between registered persons and banks or other financial institutions in the business of lending money.
Proposed Rule Change to Amend the FINRA Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications
INFORMATIONAL
Bond Mutual Fund Volatility Ratings
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
<p>OATS Clock Synchronization Logs – Record Keeping Requirements.</p>
Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
SUGGESTED ROUTING
Corporate Finance
Legal & Compliance
Operations
Syndicate
Trading
Executive Summary
On June 27, 1997, the Securities and Exchange Commission (SEC) approved amendments to NASD® Rules 4611(d) and 4612(g) with regard to market maker registration and Primary Market Maker (PMM) eligibility by managers and co-managers of secondary offerings.
