INFORMATIONAL
Disciplinary Decisions
Effective Date: July 10, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disciplinary Decisions
Interpretive Material 8310-2
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) publishes disciplinary decisions that meet certain criteria; these criteria are outlined in
Rules of leverage and options should not be changed at this time for qualified investors.
FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data
I am totally against these new rules. More liberty, not less.
The proposed rule changes are unnecessary. The risks are already clearly stated
The availability of complex products and options can potentially expand the investment opportunities for retail investors and, if properly understood, offer favorable investment outcomes (e.g., enhancing returns, limiting losses or improving diversification). However, important regulatory concerns arise when investors trade complex products without understanding their unique characteristics and
GUIDANCE
Options
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Institutional
Senior Management
Operations
Trading
Options
Contrary Exercise Advice
Exercise-by-Exception
Exercise Procedures
Options
Rule 2860
Rule 11850
FINRA Reminds Alternative Trading Systems (ATSs) and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities
This is an absurd rule. People are competent to do what they wish with their money.
I am against this rule and want freedom to invest in any fund.
