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Executive Summary
In Notice to Members 99-
<p><span class="tableEntry">NASD Rule 2210 - Communications with the Public</span></p>The posting to a Web site of performance information as required by California state law does not constitute an advertisement under NASD Rule 2210.
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS SEPTEMBER 2, 1986.
Enclosed is a proposed new rule (attached as Exhibit I) that will amend Article III, Section 26 of the NASD Rules of Fair Practice by the addition of new subsection (m). Proposed new subsection (m) was approved by the NASD Board of Governors and now requires membership approval. If
IMPORTANT
TO: All NASD Members and Other Interested Persons
In November 1984, the SEC approved, by a split vote, the NASD's longstanding petition that the Commission amend its rule governing the qualifications for companies seeking inclusion in the NASDAQ National Market System.
This landmark decision which, in essence, substitutes qualitative standards for market activity criteria, made an
Comment Period Expires: December 31, 1997
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Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on a proposed new rule, National Association of Securities Dealers, Inc. (NASD®) Rule 1150 (Rule), which would provide NASD members with a qualified
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adjust FINRA fees to provide sustainable funding for FINRA’s regulatory mission.
FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them
As a retail investor, I do meticulous research on the financial health of companies I invest in, and do quite a bit of work to justify adopting a particular strategy or level of financial risk. Closing off inflows of retail investment dollars damages me, and my investments, regardless of the intent of the rule
Hello,
As a individual investor within the US, I feel that it is a right to invest in funds as I see fit without a need to undergo special training or requirements. Doing so would limit the free market dynamics and adversely impact the economy.
Please reconsider this rule.
Thank you,
James
Whats next Fried chicken and alcohol can also be bad for you. Are you going to create a rule for people to pass a health test and a written test to be able to eat fried chicken and drink alcohol??
Its called freedom of choice. Protect it. Dont take it away.
