Good gracious, where did this proposed rule S7-24-15 come from. I am a prudent retain investor that uses inverse ETF's sparingly to reduce the risk from decline in long held positions. Inverse funds are important to my investing strategies.
At any time after the Office of Hearing Officers serves the Respondent (or counsel representing the Respondent, or other person authorized to represent others under Rule 9141, when counsel or other person authorized to represent others under Rule 9141 agrees to accept service for the Respondent) with a temporary or permanent cease and desist order, a Party may apply to the Hearing Panel to
I strongly favor these proposed rule changes. Specifically, the disclosing of synthetic positions. It is vital to combat predatory trading practices; further data releases and thorough market monitoring is required to achieve this end.
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Mutual Fund
Research
Syndicate
Systems
Trading
Training
*These are suggested departments only. Others may be appropriate for your
Any ruling on having a higher degree of accuracy finding illegal activity is an important step for ensuring the U.S market maintains faith on the world market, with the added benefit of doing the right thing.
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceGovernment SecuritiesLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On October 28, 1992, the Securities and Exchange Commission (SEC) approved an amendment to Article III, Section 35 of the Rules of Fair Practice and Section 8 of the NASD's Government
April 2003
In an effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each firm must
(a) Hearings will be held, unless:
(1) The arbitration is administered under Rule 13800(c), Rule 13801, or Rule 13807(e)(1);
(2) The parties agree otherwise in writing; or
(3) The arbitration has been settled, withdrawn or dismissed.
(b) The panel will decide the time and date of the hearing at the initial prehearing conference or otherwise in another manner.
(c) The Director will notify the
Comment Period Expires July 16, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
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.
