GUIDANCE
Qualification Examinations
Implementation Date: November 30, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Limited Principal—General Securities Sales Supervisor (Series 9/10)
Limited Principal—Registered Options (Series 4)
Limited Representative—Investment Company and Variable Contracts Products (Series 6)
Rule 1022(f)
Rule 1022(g
There are countless things investors want changed in order to have a fair chance of succeeding in the open stock market without the mass manipulation and lack of transparency that is designed for the people to lose and the big institutions to take the profits. To put it simply, investors want accountability and enforcement of the current regulations. There are already many regulations in place,
There are countless things investors want changed in order to have a fair chance of succeeding in the open stock market without the mass manipulation and lack of transparency that is designed for the people to lose and the big institutions to take the profits. To put it simply, investors want accountability and enforcement of the current regulations. There are already many regulations in place,
<p>Acceptance by member of referral fee payments by non-member mortgage banker is governed by Rule 3030 and other supervision rules.<br/></p>
• Corporate Financing Rule—Failure to Comply With Rule Requirements
• Engaging in Prohibited Municipal Securities Business
• Escrow Violations—Prohibited Representations in Contingency Offerings; Transmission or Maintenance of Customer Funds in Underwritings
• Restrictions on the Purchase and Sale of
Exemptive relief is denied based on: the Firm’s repeated failure to detect Officer A’s contributions in excess of $250; the Firm had actual knowledge of all three of Officer A’s contributions and that the Firm violated the municipal securities ban on two separate ocassions; and the firm failed to discover its own rule violations prior to NASD’s intervention.
Permissibility of electronic signatures in place of manual signatures for principal approval of new customer accounts.
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Registration
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article III,
Request a fair level playing friend as a retail investor. Short sale reporting should not be so secretive or delayed amd take weeks to see the reports. Short sale rules must change.
I am disappointed in the possible restrictions that Rule #S7-24-15 would impose upon myself and other retail investors. Both leveraged and inverse funds, while not my sole investment, do hold an important place in my overall investment strategy. I have put time and effort into researching and selecting the funds I currently hold in my investment portfolio. This includes back-testing and comparing
