SUGGESTED ROUTING
Senior Management
Legal & Compliance
Trading
Executive Summary
Members that transact business in securities designated in The PORTAL™ Market, which are not PORTAL participants, must notify the NASD of certain summary information about the volume and frequency of transactions by June 15, 1995.
Introduction
The Nasdaq Stock Market™ operates The PORTAL Market for
INFORMATIONAL
Riskless Principal Trade Reporting
Riskless Principal Trade-Reporting Rules Will Be Implemented On February 1, 2001
SUGGESTED ROUTING
KEY TOPICS
Continuing Education/Testing/Qualifications
Institutional
Legal & Compliance
Operations
Senior Management
Systems
Technology
Trading & Market Making
Training
Riskless Principal
Trade Reporting
INFORMATIONAL
Investment Companies And Variable Contracts
Effective Date: April 1, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Training
Variable Contracts
Investment Companies
This Notice discusses the guidance and other resources available to assist members with their compliance efforts in connection with the Securities and Exchange Commission’s (SEC) Regulation Best Interest (Reg BI).
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during the fourth quarter of 1986, and the first and second quarters of 1987. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506
Fourth Quarter—1986
Notice Number
I am an experienced investor 78 years of age. The proposed new regulations on us citizens to invest in leveraged and inverse funds is completely against our foundations as a Republic. We, the American people, have a God given right to invest as WE see fit - not the government. These strategies are essential parts of our investment tools. The government has no right to hinder our financial freedom
INFORMATIONAL
SEC Interpretive Guidance
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Trading & Market Making
Blank Check Companies
Freely Tradeable Securities
Executive Summary
A unit of the NASD Regulation, Inc. (NASD RegulationSM) Market
I want to write in and let whoever is considering this rule change to know that as a retail investor I am fully aware of the risks that I take by investing in securities.
I believe it would out an undue burden on the citizens of the US if there were more obstacles put in their way in order for them to have access to securities. Participating in the growth of the some of the best companies that
I have been investing for myself and my family for years and use leveraged and inverse funds as part of an overall portfolio strategy. These types of funds should be available to the general public without any additional onerous rules to use them. Hedging strategies are important to use in certain circumstances and they should not only be available to the privileged few. Regulators should be
I completely disagree with the proposed regulations to impose restriction or any limitations on my ability to invest in leveraged or inverse leveraged funds. The risks associated with these investments, like any other investment vehicle, are clearly detailed in the Prospectus documents which are readily available to the public. I oppose Government regulators imposing what I view as arbitrary and
