TO: All NASD Members and Other Interested Persons
It has come to the NASD's attention that some members are engaging in a practice whereby market making or wholesale dealers pay retail firms to direct those firms' customer orders to the market maker. The Board of Governors has established a special subcommittee of the National Business Conduct Committee to study potential problems
Last Voting Date: January 31, 1994
SUGGESTED ROUTING
Corporate FinanceLegal & ComplianceMutual Fund
Executive Summary
The NASD invites members to vote on a revised proposed amendment to Article III, Section 26(d)(4) of the Rules of Fair Practice to exempt money market mutual funds with asset-based sales charges equal to or less than .25 of 1% of net assets (or 25 basis
Effective Date: December 15, 1993
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceSyndicate
Executive Summary
On October 29, 1993, the Securities and Exchange Commission (SEC) approved amendments to the Corporate Financing Rule (Rule) under Article III, Section 44 of the Rules of Fair Practice to prohibit underwriters and related persons
This is a ridiculous rule to keep working people poor. Some of us want a chance to be able to grow our wealth to retire early . This is class war. Right now is a very uncertain time and we need to be able to build for ourselves a better future .
Proposed Rule Change to Delay the Effective Date of the Changes to the FINRA Trade Reporting and Order Audit Trail System Rules Approved in SR-FINRA-2010-043
FINRA has made a number of changes in the area of regulatory policy to improve the policy development process and better ensure that our rules reflect current industry dynamics.
Retrospective Rule Review
Qualification Exam Restructuring
Capital Raising
Regulators, I oppose restrictions on my right to choose and invest in public investments. I do not need, or want, new rules concocted to determine what my investment options are, or, how, and when I am "allowed" to invest my own funds in public investments.
I do not support the proposed rule and believe I should retain the ability to invest in whatever investment products I desire without going through special process. This comment in particular pertains to leveraged and inverse funds which an important part of my investment strategy.
After taxes, the balance is MY money. It is MY decision what to do with it and NO ONE ELSEs.
I bear the risk. If you are going to impose rules on our investment choices, then you also need to cover our resultant losses. Are you planning to do that?
Proposed Rule Change Relating to FINRA Trade Reporting Notice on Price Validation and Price-Override Protocol
