NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Principal—Financial and Operations (Series 27) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination and to reflect more accurately the duties and responsibilities of a Series 27 principal.
NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Representative—Private Securities Offerings (Series 82) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination and to reflect more accurately the duties and responsibilities of a private securities
NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Representative—Equity Trader (Series 55) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination.
NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Representative—Direct Participation Programs (Series 22) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination and to reflect more accurately the duties and responsibilities of a direct participation
We want T-0 settlement. We want transparency. We want jail time and not fines for breaking rules. We want a fair stock market.
More rules for regular investors while big fish gets away with all the advantages that you can not do anything about. You will let them sell order flows, let dark pools exist, but put restrictions on common public.
I'd like to express my disagreement with the rule that would restrict access to certain investment strategies to only the privileged. If we're to maintain a free and fair capitalist environment by allowing everyone the ability to place their money in the markets, wherever they should be, should be allowed.
Its my business to decide whether to get help with my investments; obviously no one works for free. The added costs will devalue my returns. And a rule like this will either increase the cost and / or crush the market for alternative investments.
Let the market work!
The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to the NASD Code of Arbitration Procedure to provide default procedures for situations in which a suspended, terminated or otherwise defunct member or associated person fails to answer or participate in an arbitration proceeding, and the claimant nevertheless elects to
Im asking the SEC as I do have a right of freedom to invest in crypto currency as much as I want and they do not have the right to put any kind of regulation into it. I vote against that SEC rule #S7-24-15 I oppose restrictions to my right to invest
