This letter is to oppose each and every one of the extensive restrictions being contemplated in Regulatory Notice 22-08. The proposed rule should be revoked. It is the latest open attack on the common man’s access to the new class of leveraged products, and in so doing, it is illegal.
The original attack came from the SEC in late 2019. That proposed rule, File No. S7-24-15, which limited
To Whom It May Concern:
I retired just over a year ago. I had no pension at work nor any other sponsored retirement plan. I had my own investments in both IRAs and non-qualified accounts. My life has not been easy because of divorce and child custody battles, bad economies over the last 20 years, a relatively low income (mostly in the $50-$60 range) and living in high cost of living areas,
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystems
As of May 25, 1994, the following bonds were added to the Fixed Income Pricing System. These bonds are not subject to mandatory quotation:
Coupon
Symbol
Name
Maturity
AKST.GA
AK Steel
10.750
4/1/04
AMI.GG
Amer Med Int'l
8.250
4/1/08
CCB.GA
Coca Cola
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of January 30, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
DLMH.GA
Delaware Mgmt. Holdings
10.250
3/15/04
BVLF.GA
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Registration
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD invites comments on a proposed amendment to Schedule C to the By-Laws that would
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystemsTrading
As of July 29, 1994, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
FERL.GB
Ferrellgas, L.P.
7.875
8/1/01
BYD.GA
Boyd Gaming
10.750
9/1/03
With how poorly the entire market is run, anything that enhances the ability for retail investors to have more transparency is a must. With how easily everything can be manipulated, data being skewed and hidden, naked shorts, FTD's, etc - the entire system needs an overhaul. But at the minimum, 21-19 needs to be passed to allow better transparency involving the reporting of short interest
FULL TRANSPARENCY/ NO MORE LOOPHOLES Investors demand an end to the systemic corruption and crime that is plaguing our markets through un-regulated short selling that siphons real value from companies and investors and PREVENTS proper price discovery. Direct Registering (DRS via a transfer agent) shares is currently the ONLY way to escape the rampant fraud and the ineffective, unenforced
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Syndicate
Executive Summary
On June 1, 1995, the Securities and Exchange Commission (SEC) approved amendments to Part II, Section 1(c) of Schedule D to the NASD By-Laws and Section 11 of the NASD's Uniform Practice Code.1 The amendments require that for a domestic security2 to be
Comment Period Expires April 21, 1995
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On March 17, 1995, the NASD Board of Governors approved the issuance of a Notice to Members, soliciting comment on a proposal for comprehensive structural changes in The Nasdaq Stock Market™ through the
