NASD has filed with the SEC a proposed rule change to (1) amend Article V, Section 4 of the NASD By-Laws to permit NASD to suspend for failure to pay an arbitration award or settlement, for a period of two years after the award is entered, former associated persons who terminated their registration before the award was entered; and (2) amend Article VI, Section 3 of the NASD By-Laws to clarify
It's my family's money at risk. We are perfectly capable of understanding leveraged and inverse funds. Let us decide which vehicles we use. This proposal will only help the large institutions by once again handicapping the private investors even more with so called rules designed to "protect" them.
Hey, just wanted to let you know that I think this regulation is a great idea and should be adopted. Im concerned about predatory "advisors" and other bad actors selling confusing products to people who arent equipped to understand them and appreciate the govenmemt stepping in here. Please do impliment this rule.
This would restrict my ability to purchase equites that I have held for a long time and would also decrease the value of some o the investments that I hold (no longer allowing many to purchase them). I also hedge my portfolio thru the use of some of these funds. This rule would adversely affect me and I am against it.
NASD has filed with the SEC a proposed rule change to extend the pilot program for the Trading Activity Fee (“TAF”) through April 15, 2003. The TAF pilot program (as originally proposed in SR-NASD-2002-98) is currently in effect and is set to expire on April 1, 2003. NASD is requesting the SEC approve SR-NASD-2002-148, granting permanent approval of the TAF, prior to the expiration of the TAF
NASD has filed with the SEC a proposed rule change to amend Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc. to streamline the nomination and election processes governing District Committees and District Nominating Committees, modernize communication procedures, and improve the consistency among the Committees across all districts. In
My comments are as follows: 1. The T-2 settlement period needs to changed to a T-0 or T-evening (the day of). The fact that retail investors have to wait two days, whereas institutional investors don't, violates a free and fair market. 2. Eliminate the loopholes and gaps in the rules that allow institutional investors to wait until T-35 and beyond to settle FTDs. For an example AMC and GME
1) Profiting from company failures is immoral. 2) The practice is damaging because it artificially lowers stock prices. 3) It's a privileged investment tactic that is not available to everyday investors. 4) Short sellers manipulate the market, by conspiring. 5) short selling has turned into illegal / naked / phantom shorting shares millions times over resulting in FTDs, fake stock pricing,
NASD has filed with the SEC a proposed rule change to extend the pilot program for the Trading Activity Fee (“TAF”) until April 1, 2003. The TAF pilot program (as originally proposed in SR-NASD-2002-98) is currently in effect and is set to expire on March 1, 2003. In a separate filing, NASD is requesting the SEC approve SR-NASD-2002-148, granting permanent approval of the TAF, prior to the
I believe limiting my ability to invest in crypto eft and inverse etf and leverage etf is wrong. I urge you to dismiss this ruling and and other that would limit my investment choices. I know the risks involved and invest according. Thank you for taking time out to read my thoughts Mark Packer
