SR-FINRA-2009-021 -
Proposed Rule Change to Codify the Extended Hours Trading Risk Disclosure Obligation as New FINRA Rule 2265
ACTION REQUESTED
Rule Modernization Project
Response Period Expires on: March 1, 2002
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Executive Representative
Legal & Compliance
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Annual Compliance Conference
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October 18, 2001Mr. William E. FloriaPresidentHouse of Securities Company12 West Church StreetFrederick, MD 21701Re: Exemption Request from Fidelity Bonding RequirementsDear Mr. Floria:This is in response to your September 6, 2001 letter, in which you request that House of Securities Company (the “Firm”) be exempt from the annual review and adjustment requirements of NASD Rule 3020(c)(1) because
I totally disagree with the regulators. If rule change all the money I loss with never recover
I thought this is a free country! Stop restricting freedom of investors and changing the rules of the game!
Hello, as a financial services professional I oppose SEC proposed rule #S7-24-15
GUIDANCE
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Exchange Act Rule 15c3-1
Exchange Act Rule 15c3-3
Federal Reserve Board Regulation T
NASD Rule 2520
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Executive Summary
This Notice provides guidelines to members regarding the applicability of Exchange
AAccount StatementsActive Duty Military LeaveAdjudication & DecisionsAdvertising RegulationAdvisory CommitteesAlgorithmic TradingAlternative Display Facility (ADF)Annual AuditAnnual Regulatory and Examination Priorities LetterAnnual ReportsAnnuities and InsuranceAnti-Money LaunderingArbitration & MediationAsset-Backed Securities / Securitized ProductsAutomated Data Delivery System
SR-FINRA-2008-053 - Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Certain Qualification Examination Fees
