Exemptive relief is granted based on the following considerations: (1) Name was not an MFP at the time the Contribution was made and was not involved in the solicitation of new municipal securities business; (2) the Firm took action once it became aware of the Contribution by instituting a self-ban on new City municipal securities business; (3) the Firm notified Name of her designation as an MFP and the accompanying restrictions; (4) the Firm has agreed to establish information barriers to help ensure the segregation of information flow, minimizing the potential for quid pro quo resulting from the Contribution; (5) the Firm represents that it has corrected the technical political contributions database problems and has established new procedures for direct notification to legal and compliance personnel of additions to the Parent Management Committee; and (6) although the Contribution has not been returned, the Firm represents that reasonable efforts have been made to obtain the return of the Contribution.
More rules for regular investors while big fish gets away with all the advantages that you can not do anything about. You will let them sell order flows, let dark pools exist, but put restrictions on common public.
I'd like to express my disagreement with the rule that would restrict access to certain investment strategies to only the privileged. If we're to maintain a free and fair capitalist environment by allowing everyone the ability to place their money in the markets, wherever they should be, should be allowed.
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperations
Executive Summary
On June 11, 1993, the Securities and Exchange Commission (SEC) approved a new Section 11 of the Uniform Practice Code (UPC) requiring book-entry settlement of transactions in depository-eligible securities effected between member firms and between member firms and certain of their customers.
Its my business to decide whether to get help with my investments; obviously no one works for free. The added costs will devalue my returns. And a rule like this will either increase the cost and / or crush the market for alternative investments.
Let the market work!
Summary
FINRA has amended its Codes of Arbitration Procedure for Customer and Industry Disputes (Codes) to apply minimum fees to requests for expungement of customer dispute information, whether the request is made as part of the customer arbitration or the associated person files an expungement request in a separate arbitration (straight-in request).1 The amendments also apply a minimum process
Im asking the SEC as I do have a right of freedom to invest in crypto currency as much as I want and they do not have the right to put any kind of regulation into it. I vote against that SEC rule #S7-24-15 I oppose restrictions to my right to invest
The American people need to take back our constitutional rights from the corrupt federal government before Its too late. I'm sick and tired of the wealthy making all the rules just for them and not for the people at the bottom this is got to stop immediately
Proposed Rule Change to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt New Standardized Electronic Form CMA
SUGGESTED ROUTING*
Senior Management GovernmentInternal AuditLegal & ComplianceOperationsTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
Executive Summary
The Securities and Exchange Commission has approved an amendment to Article V, Section 1 of the NASD Rules of Fair Practice that removes the current fine limitation of $15,000 per
