E&J SECURITIES CORP.C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 77 WATER STREET, SUITE 1604, NEW YORK, NY 10005Mailing Address: C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 77 WATER STREET, SUITE 1604, NEW YORK, NY 10005E. E. POWELL & COMPANY INC.200 NORTHPOINTE CIRCLE, SUITE 304, SEVEN FIELDS, PA 16046E.F. HUTTON & CO. LLC141 ROADRUNNER PARKWAY #141A, SUITE
I am strongly opposed to the FINRA's misguided proposed regulations. This absolutely irresponsible regulation would clearly hurt investors by denying me the ability to choose investments that could help me and my family achieve long term financial security. It would also upend our regulatory system by giving regulators the right to decide what public securities that I can invest in and
As a small retail investor, I use and have been using for the past 12 years, several complex products to enhance my returns in order to save enough for my retirement. I object to any rules that would deny my access to these products as it would put my retirement goals in jeopardy. ESPECIALLY any cool down periods that may be imposed and possibly lock in temporary losses. That being said I am
The PEOPLE should be able to choose the public
investments that are right for them and their families
Public investments should be available to all of the public,
not just the privileged. We've had enough of market manipulation and we need to stay a free market economy. People need to be allowed to make their own decisions. Cryptocurrency is new and it's threatening the system
I am against the FINRA Proposed Rule #22-08. Under the long-standing disclosure-based system, investors have the right to decide which public equities, bonds and funds they want to buy. Rule #22-08 upends that principle, giving regulatorsnot methe power to decide what public securities I can and cannot invest in. Investors have the right to freely access the entirety of the public securities
TO: All NASD Members and Other Interested Persons
ATTN: Direct Participation Programs Department
EXECUTIVE SUMMARY
This notice announces the adoption of exemptions from the special suitability and disclosure requirements of Appendix F to Article III, Section 34 of the NASD Rules of Fair Practice for freely tradable limited partnerships. The exemptions relate to primary and secondary public
SUGGESTED ROUTING:*
Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq National Market securities that
Dear Sirs: I am providing the following information in response to the possibility that FINRA is apparently in the process of promulgating restrictions that may cause severe harm to my ability to take advantage of the current system that allows investment in public securities and ETFs. As such, my ability to provide financial support to myself, my wife, and my immediate family may be destroyed
I M P O R T A N T
TO: All NASD Members
SUMMARY
The Securities and Exchange Commission has published for comment a proposed rule addressing the issue of exchange and over-the-counter market makers internalizing customer orders in Rule 19c-3 securities and whether inter market exposure of customer orders should be required. Internalization has been defined by the Commission as a dealer executing
Negative response letters may be used for a bulk transfer of customer accounts to a broker-dealer that will provide certain trading services that have been discontinued by member, provided the letters contain the disclosures described in Notice to Members 02-57.
