T-0 settlement. Excessive FTDs to be ruled as criminal. Naked options illegal. No dark pool shorting to get around the SSR
Proposed Rule Change to Adopt Interim Form for Funding Portals Under the Jumpstart Our Business Startups Act
SUGGESTED ROUTING*
Senior Management Government SecuritiesLegal & Compliance OperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On November 2, 1988, the Securities and Exchange Commission approved amendments to the NASD By-Laws and Rules of Fair practice and new Government Securities Rules designed to permit the NASD
Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS FEBRUARY 4, 1988.
EXECUTIVE SUMMARY
NASD members are invited to vote on proposed amendments to the NASD By-Laws and Rules of Fair Practice, and on proposed new government securities rules designed to permit the NASD to carry out its regulatory responsibilities under the Government Securities Act of 1986
SR-FINRA-2008-035 - Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to add the Fees Charged for the
Series 14 and Series 16 Examinations
Too much regulation is not a good thing. The rules are arbitrary and put forth because of one particular type of investment. It could lead to literally any stock investment having restrictions, leading to unnecessary volatility in certain situations.
(a) General
This Rule 5190 sets forth the notice requirements applicable to all members participating in offerings of securities for purposes of monitoring compliance with the provisions of SEC Regulation M. In addition to the requirements under this Rule 5190, members also must comply with all applicable rules governing the withdrawal of quotations in accordance with SEC Regulation M
I oppose this proposed rule change. It restricts the freedom of retail investors to advance their finances while allowing high net worth individuals to take advantage of more leverage. Everyone should have the same financial tools available.
