Proposed Rule Change to Adopt FINRA’s Temporary and Permanent Cease and Desist Authority Pilot Program on a Permanent Basis
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS AUGUST 6, 1987.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposal to amend recently adopted Article III, Section 26(m) of the NASD Rules of Fair Practice. (See Notice to Members 86-54, dated July 30, 1986.) The proposed amendment to Section 26(m) would limit the circumstances under
GUIDANCE
Options Position and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior management
Trading
Training
Exercise Limits
Hedge Exemption
Options
Position Limits
Rule 2860
Executive Summary
On March 30, 2005, NASD filed for immediate effectiveness with
the Securities and Exchange Commission (SEC) amendments to
Proposed Rule Change to Adopt a Fee Schedule to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
SR-FINRA-2009-021 -
Proposed Rule Change to Codify the Extended Hours Trading Risk Disclosure Obligation as New FINRA Rule 2265
GUIDANCE
Portfolio Margin Risk Disclosure Statement
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Margin
Operations
Senior Management
Margin Requirements
Options
Portfolio Margin
Portfolio Margin Risk Disclosure Statement
Rule 2520
Rule 2860
Executive Summary
As announced in Notice to Members (NTM) 07-11 (February 2007
Once again, I am here from the government and I am here to help you, is big government at its worst. The only people who will benefit from this proposed rule are the market makers and professional investors who already have an edge in the financial markets. Instead of wasting your time telling people you do not think they are as smart as you are, how about taking equal time to do something about
I wanted to voice my opposition to SEC Proposed Rule #S7-24-15. As a consumer and investorI feel it is might right to choose investments that I have researched and vetted while being free of regulatory restrictions. The SEC needs to understand that with the Internet people are more informed than in the history of investing in the United States and are able to make informed decisions without
WoW! Last I understood, capitalism and the right to individually flourish in the U.S.A. was available to everyone. My mother came here legally for this reason, and so I can benefit from my own efforts here as well. If my funds disappear due to my lack understanding or misjudgment, THAT is my decision to make and no one else's. This proposed rule is highly elitist. Public trading should be
FINRA has no business or right to regulate or limit the products in which private investors place funds. I understand and accept the risks of my investments in all types of funds. They are my funds to invest, not yours. An investment prospectus is sufficient to inform investors of the objectives and risks of any investment. Attempting to regulate who can and cannot invest in any fund, based on an
