Comment Period Expires January 31, 1995
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Senior ManagementLegal & ComplianceRegistration
Executive Summary
The National Association of Securities Dealers, Inc. (NASD) requests comments on a proposed amendment to Article III of the Rules of Fair Practice (Rules) to require members to report to the NASD the occurrence of specified events and quarterly summary
ACTION REQUESTED
Rule Modernization Project
Response Period Expires on: March 1, 2002
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Executive Representative
Legal & Compliance
Senior Management
Annual Compliance Conference
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This is unfair rules the regulars are trying to enforce. What would their reason for this, they dont have the right to block consumer to buy and sale.
This is a bad idea, more rules will not help anything. Messing with the free markets is what got us into this mess in the first place.
Please DO NOT alter present (as of May 3, 2022) regulations and/or rules regarding investing in leveraged and/or inverse funds.
The Series 14 exam — the Compliance Officer Qualification Exam (CR) — assesses the competency of an entry-level principal to perform their job as a compliance officer.
I think its a dumb rule. People take out margin and risk owing the brokerage. Levered funds remove that risk
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
GUIDANCE
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Exchange Act Rule 15c3-1
Exchange Act Rule 15c3-3
Federal Reserve Board Regulation T
NASD Rule 2520
Unexpected Close
Executive Summary
This Notice provides guidelines to members regarding the applicability of Exchange
