Executive Summary
Effective October 1, 1996, tier sizes for 591 Nasdaq National Market® securities will be revised in accordance with NASD Rule 4710(g) [formerly ¶ 2451a7 of the Rules of Practice and Procedure for the Small Order Execution System (SOES)].
For more information, please contact Nasdaq Market Operations at (203) 378-0284.
Please stop making barriers to the free flow of capital in the USA, which is based in free markets rule. Your political support will loose their power come November 2022.
It is imperative that everyone be able to invest and make their own decisions. I totally disagree with this proposed rule and everyone I know that invest in their future feels the same way and will never go along with this !
As an investor of moderate means, I appose this proposed rule. All investors should have equal access to investment options. It should be my decision, not FINRA's, as to what is appropriate for me.
It's an unfair rule to try to further restrict people's ability to make money and get ahead. Rich and powerful don't want average Joe to prosper. Greedy is the term.
The proposed rule presupposes that most people are Incapable of making informed decisions about their investing. It is tantamount to prior restraint on the right of individuals to determine for themselves what companies they will invest in.
Executive Summary
Effective July 1, 1996, tier sizes for 728 Nasdaq National Market securities will be revised in accordance with NASD Rule 4710(g) (formerly Paragraph 2451a7 of the Rules of Practice) and Procedure for the Small Order Execution System.
For more information, please contact Nasdaq Market Operations at (203) 378-0284.
Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees and Assess a Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
Members are invited to vote on a proposed new Section 45 to
ACTION REQUIRED
Mutual Fund Transactions
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Mutual Fund Sales
Operations
Senior Management
Mutual Fund Transactions
Executive Summary
Investment Company Act Rule 22c-1(a) generally requires that redeemable securities of investment companies be sold and redeemed at a price
