TO: All NASD Members and Other Interested Persons
The following is a list of NASD Notices to Members issued during the first quarter of 1986. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006
Notice Number
Date
Topic
86-1
January 2, 1986
Amendments to Venture
Do not deny my freedom to invest in any financial product that is approved by actual regulations. More and restricted regulations are not in favor of a diversified portfolio.
Any attempt to restrict or limit my ability to invest or otherwise interact with the economic and financial institutions of this country will be considered an action worthy of rebellion.
Please let investors invest freely. Take risks and rewards on their own judgment. Financial markets should be open to all participants.
It would be a shame for these investment vehicles to be ruled unlawful. It is my freedom and right as an investor to use these vehicles to achieve my financial goals
SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperations
Executive Summary
On February 15, 1994, the Securities and Exchange Commission (SEC) asked the NASD to alert its members to a possible fraud involving cancelled General Motors Corporation common stock certificates. The certificates involved were issued prior to January 1, 1984.
Background
According to
Regulators do not know what is in my best interest better than I do, and should not seek to override my judgement in financial matters.
Comments:I find leverage ETFs to be a valuable tools to my financial plan. It allows me to take a stronger position than I normally can
SUGGESTED ROUTING
Corporate Finance
Legal & Compliance
Syndicate
Training
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests that members review their compliance procedures with respect to Securities and Exchange (SEC) Rule 15c2-4, which is applicable to public and private
Gate keeping financial opportunities for the rich is ridiculous! They dont need even MORE ways to just gather more wealth from the rest of us.
