SEC Approves Amendments to the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees
I am smart enough to earn my income, I believe that I am intelligent enough to make my own investment decisions. Testing me to invest my own money is ridiculous. Please consider my view when deciding on FINRA Rule#22-08.
Please do not impose or infringe on any reasonable citizens prudence and ability to invest freely. Any arbitrary restrictions should be considered as such. Please forego any rule or measure that's an outright impediment to free choice and flies in the face of empowering citizens rights.
Proposed Rule Change to Amend Rules 12403 and 12404 of the Customer Code of Arbitration Procedure and Rules 13403 and 13404 of the Industry Code of Arbitration Procedure
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend through January 25, 2008, the current rules regarding the use of multiple Market Participant Symbols ("MPIDs") in NASD Rules 4613A (with respect to the Alternative Display Facility ("ADF")) and 5140 (with respect to Trade Reporting Facilities
Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
<p>NASD Rule 3010(a)(7) - Annual Compliance Meeting</p>
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
In Notice to Members 85-12 (February 15, 1985), the NASD set forth its views that, on accepting
This rule would be almost impossible to adhere to for those in market making roles as the time it takes to book trades can take over 1 minute. If market makers need to pause trading responsibilities to book trades within the 1 minute time limit, this would actually cause bond markets to be less efficient.
<p>Separate sales contests are permissible under NASD Rule 2820(g) for group variable contracts.</p>
