Last Voting Date: September 27, 1993
SUGGESTED ROUTING
Senior ManagementMutual FundSyndicate
Executive Summary
The NASD invites members to vote on a proposed amendment to Article III, Section 26(d)(4) of the Rules of Fair Practice to exempt money market mutual funds from the required disclosure under that Subsection that "long-term shareholders may pay more than the economic
I do not appreciate regulators restricting my choices of what I can invest in by making arbitrary rules.
As an individual, I learned that prior to investing in securities, I had to invest in my own financial education first, including risks associated with leveraged and inverse funds. Instead of making it more cumbersome to invest, consider helping and making it easier so younger generations may
I haven't read the material yet, but at first blush this is quite an overreach. Not everyone can win - yet those that lose run to elected officials & want a refund for their poor risk management. Day trading "rules" changed nothing but the amount that could be lost to a greater amount. Time would be well spent helping the gamblers buying 0 DTE puts &
<p>Relief granted to banks to facilitate an orderly and efficient transition of employees from a bank into a broker/dealer to comply with the Financial Modernization Act of 1999.<br />
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Effective Date: April 1, 1998
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective April 1, 1998, foreign equities and American Depositary Receipts (ADRs) that are not registered with the Securities and Exchange Commission (SEC) under Section 12 of the Exchange Act will no longer be
Adding additional rules and regulations to the market place is counter productive and not in the best interests of the trading public. As a long term investor in the US market place (50+ years) the caveats posted with any investment are the responsibility of the investor to read and make note of. To make it more difficult for a self directed investor to participate in all types of available
I would like to maintain my freedom to invest in public securities. My investment decisions are carefully decided from reading extensively. Changing the rules in this way is patronizing to thousands of investors that have strategies that differ from what regulator deem acceptable. If issuer is transparent and doesn't commit any fraud (which is the actual responsibility of our regulators
INFORMATIONAL
Mediation Fees
Effective Date: November 1, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Dispute Resolution
Mediation
Executive Summary
On August 11, 2000, the Securities and Exchange Commission (SEC) approved a change to the Code of Arbitration Procedure (Code) to permit NASD Dispute Resolution, Inc., (NASD Dispute
I am dismayed that this proposed rule is being considered. This could drastically reduce my options to make the investments that I believe are currently available currently. A special process to verify my capability to invest is not necessary. I adequately know how to make appropriate investments including those considered by this proposed regulation. Rather than purchasing digital currency
FINRA may, upon notice, terminate access to the trade reporting service of the System as to a Participant in the event that a Participant fails to abide by any of the rules or operating procedures of the trade reporting service of the System or FINRA, or fails to honor contractual agreements entered into with FINRA or FINRA Regulation or the Participant Application Agreement, or fails to pay
