I do not wish to have regulations impose on my rights to invest. This proposed Rule will be violating my constitutional right to chose once again! You chose to focus on those you continue to pass funds to bailout! Companies that have mismanaged their funds.
I absolutely oppose the new restrictions proposed in SEC Rule S7-24-15. This is another example of government over-reach. Stop it. Now! Let all the little guys in this country continue to do what has made this country the greatest free market in the world!
Your proposal is treating investors like children. I am opposed to ptoposed rule S7-24-15. I have a PhD in business administration and am capable of deciding my own investment strategy without the hoops you propose for investors to jump through.
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Executive Summary
The purpose of this Notice is to reiterate to members one of the requirements of the National Association of Securities Dealers, Inc. (NASD®) Rules 6950
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make certain amendments to the Restated Certificate of Incorporation of NASD (the “Certificate”) to reflect the governance and related changes to accommodate the consolidation of the member firm regulatory functions of NASD and NYSE Regulation, Inc. and to conform the Certificate to the
Exemptive relief is granted based on the following considerations: (1) the contributions were made prior to Individual's employment by the Firm; and (2) at the time of the contributions, Individual had no personal involvement in soliciting new, or participating in existing municipal securities business.
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers ("Association" or "NASD") is publishing for comment by members and all other interested persons a proposed rule which would establish new requirements for the private securities transactions of persons associated with member firms. The rule would replace in its entirety the
Staff grants exemption from the Short Sale Rule for certain transactions executed through a member's passively-priced trading system.
April 3, 2007
Mr. Louis J. Karcher
Principal & Chief Compliance Officer
Pipeline Trading Systems LLC
60 East 42nd Street, Suite 624
New York, NY 10165-0006
Re: NASD Rule 5100: Request for Exemptive Relief
Dear Mr. Karcher:
This is in
TRACE Reporting and Dissemination of Non-member Affiliate Transactions
Submission of "Clearing-Only, Non-Regulatory Reports" to the FINRA Equity Trade Reporting Facilities
