The only time someone wants 2 protect the retail investor in reality is to "aid" the large traders
Why not protect the little guy from short raids and reinstate the uptick rule
I will reply later after I have "cooled" down
I have been investing in leveraged ETFs for four years. Risky, yes. But strict rules would not stop people from investing. Please use prudence in legislation in allowing the public access to some very good tools.
SR-FINRA-2008-034 - Proposed Rule Change to Amend Incorporated NYSE Rules 311, 342, 345, 346, and 416 to Delete References to Fees in Those Rules
SR-FINRA-2008-031 - Proposed Rule will Amend the Uniform Submission Agreement
<p>Separate sales contests are permissible under NASD Rule 2820(g) for group variable contracts.</p>
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
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt the following NASD Rules (which are part of the existing FINRA rulebook) as FINRA Rules in the new consolidated FINRA rulebook: the 4000 through 10000 Series and the 12000 through 14000 Series.
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to NASD Interpretive Material 1013-1 ("IM-1013-1") to address the applicability of the consolidated FINRA rules to member firms of the New York Stock Exchange ("NYSE") that became members of FINRA pursuant to the membership waive-in process set forth in IM-1013-1.
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Operations
Registration
Senior Management
Continuing Education
IM-1000-2
Executive Summary
NASD Regulation, Inc. (NASD Regulation) has adopted amendments to National Association of Securities Dealers, Inc. (NASD®) IM-1000-2 to codify the staff's
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
