TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, January 5, 1988, the following four issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,052:
Symbol*
Company
Location
CPBI
To FINRA, It has come to my attention through my broker that this notice may lead to a restricting of many types of investments that I have available to me. While some of the recommended requirements such as a cooling-off period and an increase in information that a client must see could benefit retail investors. Other requirements such as a net worth requirement are troubling, to say the least.
So Investments are too complex for us "regular" people? Discrimination much? Investments are only for those with a high net worth? Discrimination much? It's 2022, the time where we all talk about discrimination and how we can fix it. Well with what's been coming out of lawmakers hands in 2022, has been fueling the discrimination fire. I started investing in 2021 when CoinBase
This un levels the playing field so large wealth and insiders can get the largest reward on new and yet untested investment opportunities. To have wealth, is to always have an advantage for more wealth. This is unfair and difficult for minimally wealthy investors to have a similar chance at getting the best returns for getting in early. This effort is on the surface to keep small investors
As an educated & well-researched "retail" investor, I find this legislation incredibly insulting. The condescending essence of the idea that I am not capable of understanding the risks of leveraged and inverse ETFs is disgusting. Such ETFs have allowed me to outperform the major indexes through the bear market we are currently going through, and without access to them retail
(a) Quid Pro Quo Allocations
No member or person associated with a member may offer or threaten to withhold shares it allocates of a new issue as consideration or inducement for the receipt of compensation that is excessive in relation to the services provided by the member.
(b) Spinning
(1) No member or person associated with a member may allocate shares of a new issue to any account in which
Ver en españolOnly when people are aware of the Office of the Ombuds can they seek our assistance. This is why we strive to increase our outreach to our constituents—investors, the broker-dealer industry, FINRA staff, and any other FINRA stakeholders. In 2023, our outreach included meeting with investor representatives; participating in investor, industry, and employee events; and enhancing our
(a) Quid Pro Quo AllocationsNo member or person associated with a member may offer or threaten to withhold shares it allocates of a new issue as consideration or inducement for the receipt of compensation that is excessive in relation to the services provided by the member.(b) Spinning(1) No member or person associated with a member may allocate shares of a new issue to any account in which an
IMPORTANT
TO: All NASD Members and Other Interested Persons
Over the past several months, some questions have arisen relating to members' procedures when executing transactions for their own accounts while in possession of unexecuted customer limit orders for over-the-counter securities. In May 1984, the NASD Board of Governors appointed an Ad Hoc Committee on Limit Orders to review members
TO: All NASD Members and Other Interested Persons
Recent changes to certain Securities and Exchange Commission ("SEC" or "Commission") requirements for the filing of public offerings have raised interpretive questions concerning the Association's filing requirements. In 1982, the SEC adopted new forms for registering securities, Forms S-l, S-2, and S-3, as well as new
