SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of September 29, 1994, the following 49 issues joined the Nasdaq National Market, bringing the total number of issues to 3,725:
Symbol
Company
Entry Date
SOES Execution Level
BDTC
Bio-Dental Technologies
8/30/94
200
FCNB
Corporation FCNB Corp.
8/30/94
200
CCIL
Cellular Communications International,
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adjust FINRA fees to provide sustainable funding for FINRA’s regulatory mission.
Respected gentlemen/ladies, I have few things to say to you about these proposed new regulations: 1. Please let me continue to decide what I do with my money and where I put it. 2. Please let me continue to decide what my portfolio would be composed of and please stay out of my portfolio 3. Please don't tell me that I'm not intelligent enough to invest in public securities like
I am writing to oppose the possible upcoming changes from regulators on how I can invest my own money. My money is MY MONEY, and no one should have the authority to control my investment options. When necessary, I seek my own council from my trusted financial wealth sources to make my investment decisions. If I choose to invest in leveraged and inverse funds, this is my decision, and I am aware
Hi and as an American citizen I should be able to choose what investment is right for me and not a regulator. Public investment should available for all citizens. I shouldnt have to go through a test to be able trade my funds based on my interest and risk tolerance. I am capable of researching and understanding the risk of what I want to invest in. Leveraged and inverse funds are important to my
Once again, people in government want to do what's best for you. Our elected representatives want to be able to control how I trade leveraged funds. I don't get to chose how my elected representatives trade, yet I am consistently taken advantage of by my elected representatives. Think about how ridiculous it is to only let people of very high net worth trade leveraged funds in their
All financial market participants should be able to make their own investment choices. There are already too many restrictions on net worth allowing the rich to make investments that others cannot access. We dont need FINRA or any other government agency to tell us what to invest in and what not to invest in. Vanguard is already doing this and I am taking my business to another brokerage. Also,
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until October 20, 2021.
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of August 24, 1993, the following 66 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,238:
Symbol
Company
Entry Date
SOES Execution Level
OMEG
Omega Environmental, Inc.
7/26/93
1000
MPFC
Mountain Parks Financial Corp.
7/27/93
500
XLTCW
Excel Technology, Inc. (2/8/98 Wts
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of February 9, 1990, the following 13 issues joined NASDAQ/NMS, bringing the total number of issues to 2,685:
Symbol
Company
Entry Date
SOES Execution Level
