I haven't read the material yet, but at first blush this is quite an overreach. Not everyone can win - yet those that lose run to elected officials & want a refund for their poor risk management. Day trading "rules" changed nothing but the amount that could be lost to a greater amount. Time would be well spent helping the gamblers buying 0 DTE puts &
Adding additional rules and regulations to the market place is counter productive and not in the best interests of the trading public. As a long term investor in the US market place (50+ years) the caveats posted with any investment are the responsibility of the investor to read and make note of. To make it more difficult for a self directed investor to participate in all types of available
I would like to maintain my freedom to invest in public securities. My investment decisions are carefully decided from reading extensively. Changing the rules in this way is patronizing to thousands of investors that have strategies that differ from what regulator deem acceptable. If issuer is transparent and doesn't commit any fraud (which is the actual responsibility of our regulators
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMutual Fund
Executive Summary
Since the Securities and Exchange Commission (SEC) approved new NASD® rules governing investment company sales charges on July 7, 1992, the NASD has fielded numerous questions from member firms and mutual funds concerning the interpretation and application of these rules. In anticipation of
I am dismayed that this proposed rule is being considered. This could drastically reduce my options to make the investments that I believe are currently available currently. A special process to verify my capability to invest is not necessary. I adequately know how to make appropriate investments including those considered by this proposed regulation. Rather than purchasing digital currency
Hello I want to suggest a new rule with all financial operations of any kind by any broker is instantly reported, it's 2021 after all - and that all these operations were transparent and public via your websites - with multiple layers of depth so that "new" retail investors like myself could understand the basics easily - and that it would be multiple levels of depth for the more
INFORMATIONAL
NASD Examinations
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KEY TOPICS
Legal & Compliance
Senior Management
Recording NASD Field Examinations
Executive Summary
In response to a request by a member firm, NASD Regulation, Inc. (NASD RegulationSM) recently clarified its long-standing practice of not permitting members to record by video or audio tape conversations between
Read CEO Robert Cook’s email to firms previewing topics the Board is scheduled to discuss at the July 2024 FINRA Board of Governors Meeting.
Yes, this rule should be changed. Retail investors should have a chance to transparent data and access to all data. Times have changed and retail investors want full transparency to make this a truly free market, retail investors are left in the dark and are always given outdated data and limited access
As an investor, I feel hedge funds are exploiting some rules and feel somewhat unaffected by them It would be for the most interest, that the short sales were reported hourly, and in case of borrowing shares, that those shares are accounted and tracked, and blocked for trading for a minimum of 15 trading days before being released again
