Comment Period Expires January 31, 1995
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperations
Executive Summary
At its November 1994 meeting, the NASD Board of Governors (Board) approved the issuance of a Notice to Members soliciting member comment on a proposed amendment to Article III of the Rules of Fair Practice. The proposed rule would require registered persons to
Please do not impose or infringe on any reasonable citizens prudence and ability to invest freely. Any arbitrary restrictions should be considered as such. Please forego any rule or measure that's an outright impediment to free choice and flies in the face of empowering citizens rights.
I am smart enough to earn my income, I believe that I am intelligent enough to make my own investment decisions. Testing me to invest my own money is ridiculous. Please consider my view when deciding on FINRA Rule#22-08.
INFORMATIONAL
Advertising Modernization
SUGGESTED ROUTING
KEY TOPICS
Advertising
Internal Audit
Investment Companies
Legal & Compliance
Registered Representatives
Senior Management
Variable Contracts
Advertising
Communications with the Public
NASD Rule 2210
Executive
<p>Fair Labor Standards Act class actions are ineligible for arbitration in the NASD Regulation forum.<br />
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I strongly support any rule change that brings greater transparency to our financial markets. Daily reporting requirements will surely help retail investors better understand what these large financial players are doing to our markets.
TO: All NASD Members
The Securities and Exchange Commission has adopted the amendments proposed in March to its shareholder communications rules. The amendments, which specify the obligations of brokerage firms and issuers, stipulate:
• That issuers who request a list of nonobjecting security holders from one broker must request it from all brokers with customers who beneficially own the issuer
(a) Member Application Process
(1) Definitions
(A) "Associated Person"
Solely for purposes of paragraph (a) of this Rule, the term "associated person" means any: (1) sole proprietor, partner, officer, director or manager of a funding portal, or other natural person occupying a similar status or performing similar functions; (2) natural person directly
Effective March 15, 1999
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Senior Management
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Who is the [REDACTED] that came up with this regulation? Why is ANOTHER Government entity trying to take rights of FREE Americans away? VOTE NO ON SEC Proposal Rule #S7-24-15. Let's all do what we can to remove these communist regulators too!
