An alternative trading system (ATS) is an SEC-regulated trading venue in which a computerized system matches buy and sell orders of securities. An ATS is not a national securities exchange, an ATS may apply to the SEC to become a national securities exchange. An ATS that registers as a broker-dealer must also comply with the obligations associated with being a registered broker-dealer, including FINRA membership and compliance with FINRA rules.
A networking arrangement between a broker/dealer and a licensed insurance agency in which the non-member insurance agency receives commission payments is not subject to Rule 2420 if the arrangement is undertaken in reliance on an SEC no-action position on the registration requirements of the insurance agency as a result of the arrangement.
The amount of naked shorting and failure to delivers in the market currently is absolutely unacceptable. Please make a change to the rules we're short positions and make it short positions have to be reported daily.
My comment on the rules is to actually enforce them. Honestly, take a look at obvious naked short selling and market manipulation. We the people have lost trust in a "free" market.
Staff clarification of <em>NASD Notice to Members 96-60</em> regarding a member's suitability obligation under NASD Rule 2310 with respect to certain investment company transactions.
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications with the Public
Whats next Fried chicken and alcohol can also be bad for you. Are you going to create a rule for people to pass a health test and a written test to be able to eat fried chicken and drink alcohol??
Its called freedom of choice. Protect it. Dont take it away.
As a retail investor, I do meticulous research on the financial health of companies I invest in, and do quite a bit of work to justify adopting a particular strategy or level of financial risk. Closing off inflows of retail investment dollars damages me, and my investments, regardless of the intent of the rule
Hello,
As a individual investor within the US, I feel that it is a right to invest in funds as I see fit without a need to undergo special training or requirements. Doing so would limit the free market dynamics and adversely impact the economy.
Please reconsider this rule.
Thank you,
James
Direct Participation Programs Representatives are eligible to sell shares of a non-listed business development company that qualifies as a regulated investment company under the Internal Revenue Code at the time of sale.
