Dear FINRA Regulators:
I use Public Investments as a tool to build my financial future and that of my family. As an investor I want to have all options available to me and they should be available to others too, at any time, with no restrictions whatsoever. I want to have the right to choose freely what Public Investments to use in my portafolio and assume full responsibility for my investment
In response to FINRA Regulatory Notice #22-08, I oppose all restrictions on my right, and on my right as trustee on behalf of beneficiaries to whom I owe duties, to invest in funds of my choosing.
By discriminating in favor of some shareholders over others, restrictions that have been proposed are a denial of equal protection under the law. They in effect would preselect who will prosper in
The pubic restricted from investing in public securities is a America was never supposed to be the over-regulated, freedom restricted, over taxed, rights infringing nation it is increasingly headed towards. Placing restriction on our general public and bestowing more privilege to the wealthy defeats the purpose of a free and public market and direct investment. Just the consideration of such
I am disappointed in the possible restrictions that Rule #S7-24-15 would impose upon myself and other retail investors. Both leveraged and inverse funds, while not my sole investment, do hold an important place in my overall investment strategy. I have put time and effort into researching and selecting the funds I currently hold in my investment portfolio. This includes back-testing and comparing
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MAY 8, 1987.
EXECUTIVE SUMMARY
The NASD is requesting comments and suggestions on the concept of a rule that would restrict broker-dealers that are affiliated with issuers from making a market or trading in the securities of those issuers. The NASD invites comments on whether such practices should be restricted and, if so,
TO: All NASD Members and Level 2 and Level 3 Subscribers
With the 40 issues joining NASDAQ's National Market System on Tuesday, August 14, there will be over 1,053 issues trading under real-time trading reporting. These 40 issues meet the SEC's voluntary designation criteria.
The securities scheduled to join NMS on Tuesday, August 14, are:
SYMBOL
COMPANY
LOCATION
ACHV
Archive
TO: All NASD Members and Interested Persons
ATTENTION: Training Directors and Registration Personnel
Effective February 1, 1984, the NASD will implement changes to the Direct Participation Programs Principal Examination (Series 39). These revisions were made by the Association under the overall direction of the Qualifications Committee of the Board. At the inception of each examination program,
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA rules to reflect name changes to two FINRA departments: (1) the Office of Dispute Resolution and (2) the Department of Registration and Disclosure. Specifically, the proposed rule change would amend the General Standards, the
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to increase arbitrator chairperson (“Chair”) honoraria.&
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to apply minimum fees to requests for expungement of customer
