I would like you to do your job and enforce your rules regulations and other such items. Thank you Have a great day.
NASD has filed with the SEC a proposed rule change to the By-Laws of the National Association of Securities Dealers, Inc. ("NASD" or "Association") to address several corporate governance issues, including the treatment of staff Governors for purposes of Industry/Non-Industry balancing; the role of the National Nominating Committee (NNC) in contested elections; the petition
INFORMATIONAL
Non-Cash Compensation
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Rule 2710
Rule 2810
Non-Cash Compensation Provisions
Rule Modernization
Executive Summary
On April 7, 2003, NASD filed with the Securities and Exchange Commission (SEC) for immediate effectiveness
To whom it may concern,
The proposed rule is totally against capitalist markets. The whole nature of free markets and security trading is for people to be to decide where to invest. If they lose their investment, it should be their sole responsibility, just like it is when they gain.
Exemptive relief is granted based on: the representation that at the time of the contribution the individual was not an MFP (as defined); the firm already has a significant business relationship with the governmental entities of which the contribution recipients were considered to be issuer officials; the firm has instituted information barriers on certain municipal business communications; the individual involved will be prohibited from the solicitation of certain new municipal business for a period of time.
On April 24, 2000, NASD Regulation issued an new interpretation under NASD Rule 2110, Standards of Commercial Honor and Principles of Trade, to require a member that provides a written confirmation for a transaction involving callable common stock to disclose on the confirmation that the security is callable and that the customer may wish to contact the member for more information regarding the
Summary
The NAC has revised FINRA’s Sanction Guidelines, which guide FINRA adjudicators in developing remedial sanctions for violations of the securities rules. These revisions were based on a review to ensure that the guidelines accurately reflect the levels of sanctions imposed in FINRA disciplinary proceedings. The revisions tailor sanctions to differentiate between types of respondents and
FINRA Requests Comment on a Proposal to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to Rules 2520 and 2522 that will revise the margin requirements to: (1) expand the types of short options positions that would be considered "covered" in a cash account, specifically, certain short positions that are components of limited risk spread strategies, provided
I wish to object to the actions that FINRA is in the process of adopting. I have been trading this type of vehicle for the last 15 years or more and have found no reason that your requirements are meaningful. I request that you make no changes to the current trading rules!
