Please enforce or change rules for short selling
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
This is a very stupid idea. What are the investors holding these stocks going to do if those very bad rules are in acted? Please dont in act.
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Senior Management
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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
Dear FINRA, people should have the right to invest. It shouldn't be just for the rich people of this world
Please let the rules stay the same.
This is an unfair and undemocratic rule that may hurt smaller investors and their ability to invest and have a good long term return. This should not go through.
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MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a new Section 46, Article III of the Rules of Fair Practice regarding adoption of a short-sale rule or "bid test
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
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Legal & Compliance
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Executive Summary
Effective June 1, 1995, the Securities and Exchange Commission (SEC) is adopting Rule 17a-23 and Form 17A-23 under the Securities Exchange Act of 1934. The Rule requires broker/dealers that operate automated trading systems to maintain participant, volume, and transaction
