The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to the Code of Arbitration Procedure to encourage the use of mediation and increase revenue by adjusting mediation fee schedules, and to permit parties to agree to stay arbitrations in order to mediate the claim.
Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
Proposed Rule Relating to use of the Dispute Resolution Party Portal in Arbitration and Mediation
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In light of recently enacted federal law, NASD Regulation, Inc. (NASD RegulationSM)
The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB) and FINRA announced today that registration is now open for both in-person and virtual attendance of their Compliance Outreach Program for municipal market professionals. The event is open to the public and will take place on Wednesday, Nov. 20, and Thursday, Nov. 21, 2024, in Denver, Colorado.
Amendments to FINRA Rule 9520 Series to Establish Procedures Applicable to Firms and Associated Persons Subject to Certain Statutory Disqualifications
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
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 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 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
