Leave MY Financial FREEDOM Alone!!
I oppose the imposition of the new financial regulations as unnecessary.
Please stop this. This is not rational and not healthy for the financial market.
(a) Each member shall promptly report to FINRA, but in any event not later than 30 calendar days, after the member knows or should have known of the existence of any of the following:
(1) the member or an associated person of the member:
(A) has been found to have violated any securities-, insurance-, commodities-, financial- or investment-related laws, rules, regulations or standards of conduct
Leave our financial decisions to us and our advisors.
ACTION REQUIRED
Volume-Weighted Average Price Transactions
SUGGESTED ROUTING
KEY TOPICS
Capital Markets
Executive Representatives
Legal & Compliance
Operations
Senior Management
Trading
Conflicts of Interest
Order Handling
Supervision
Executive Summary
NASD reminds members that when executing a volume-
These decisions are made in consultation with my financial manager.
Do not restrict my financial dealings and investments.
It is important for economic growth in the financial sector not to restrict
Restricting my financial actions will harm my life.
