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.
(a) Events Requiring Application
A member shall file an application for approval of any of the following changes to its ownership, control, or business operations:
(1) a merger of the member with another member, unless both are members of the New York Stock Exchange, Inc. or the surviving entity will continue to be a member of the New York Stock Exchange, Inc.;
(2) a direct or indirect
INFORMATIONAL
Corporate Debt Securities Transactions Subject to Reporting and Dissemination
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FINRA and the sec are only here to protect large investors to become richer. This rule change and the fact that the sec approved a futures but not spot etf, enabling shorts is proof of that. This is why crypto is so important. It takes the power away from these corrupt officials and gives it back to the individual.
REQUEST FOR COMMENT
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Comment Period Expires May 27, 2005
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NASD Rules 2211 and 3010
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NASD
Please do not enforce these regulatory rules for investing. I myself am in a situation where investments do help me but I do not have large funds. I think everyone should have the right to do what they want with their money without having to jump through hoops to do it.
The Neutral Corner - Volume 2—2023
Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws Relating to Qualification Examination Fees
An exemption is granted based on the following considerations. First, you have represented that Name, prior to being hired by the Firm, was not engaged in the solicitation of municipal securities business, as defined in the Rule. Second, you have represented that the Firm has a long relationship as an underwriter of municipal securities for the State and State agencies, and neither the hiring of Name nor his Contribution was necessary to obtain municipal securities business from such issuers. Third, the Firm has agreed to institute preventive information barriers to help avoid the potential for conflicting interests to exist and be used, or appear to be used, by the Firm or Name to obtain municipal securities business or compensation or other financial benefits related to such business.
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: ALL NASD Members
LAST VOTING DATE IS SEPTEMBER 13, 1985
Enclosed is a proposed addition to Article III of the NASD's Rules of Fair Practice. The proposed new rule has been approved by the Board of Governors and now requires the membership's approval,
The rule would establish new requirements for the private securities
