ACTION REQUIREDAmendments to Section 5 of Schedule A to the NASD By-Laws SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementFeesNASD By-LawsSimultaneous Filing Group (SFG)Executive SummaryThe Securities and Exchange Commission (SEC) has announced the immediate effectiveness of amendments to Section 5 of Schedule A to the NASD By-Laws (Section 5) to (1)
FINRA Revises Sanction Guidelines
A move to block the public from investing in leveraged and inverse investments comes across as yet another disturbing example of moves to give the financial elite greater opportunities than the average person. Rather than making the excuse that you are trying to protect the public from themselves, it gives the financial elite who would continue to have access to these sorts of investments
It's extremely annoying when US Government regulatory agencies think they know what financial products are appropriate for me. The US was founded because a bunch of British citizens didn't approve of their overlord's restrictions. Unfortunately, it seems the 'leaders' of this country have learned nothing from that part of our history.
If you want to
FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
My name is ShiouChin To. I am writing to oppose limitations on my investments. I am a knowledgeable investor who actively manage my investment portfolio prudently. I assess risk carefully and do the investment based on my risk tolerance. I should have the freedom to choose the public investments that are right for me and my family in order to achieve long-term financial security. Leveraged and
My name is YuMing To. I am writing to oppose limitations on my investments. I am a knowledgeable investor who actively manage my investment portfolio prudently. I assess risk carefully and do the investment based on my risk tolerance. I should have the freedom to choose the public investments that are right for me and my family in order to achieve long-term financial security. Leveraged and
I fall into the category of investors which this regulatory notice is aiming to protect: I am a relatively young retail investor who has chosen to invest in complicated funds on a self direct brokerage. Therefore, I feel the need to discuss my experience with complex products.
I acknowledge that these funds are more complicated than conventional products. However, complication does not mean
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ACTION REQUIRED
Effective Date: January 1, 2004
SUGGESTED ROUTING
KEY TOPICS
Finance
Legal and Compliance
Operations
Senior Management
Systems
Late Payments
Background
Effective January 1, 2004, The Nasdaq Stock Market, Inc. (NASDAQ) will implement a new service termination policy for members, issuers, and other market
