To whom it may concern, It's undemocratic to make certain investments available only to the already wealthy. Leveraged investments should remain available to everyone, regardless of their net worth. And the same rules should apply equally, to everyone, all the time. It's not possible for regulators to care as much about my investments as I do, despite their best intentions. And nobody
Dear FINRA, If you change the rules so late in the game it's not fair. It's not fair for investors and even more so for those already invested. If investors can't buy it, how on earth am I going to sell it? I have losses so I am not even going to profit just get back where I was. Somebody got that money I paid; don't I have the right to get it back? It works both ways...you
To Whom it May Concern: As an educated citizen of the United States of America, I should have the right to invest in securities that best suit myself and my family. Since I am educated, I have the ability and the responsibility to be informed about the positions I purchase and the investments I make. As such, I can benefit from the profits and bare the losses of my own decisions. The government
INFORMATIONAL
Membership And Registration Rules
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Direct Participation Programs Limited Principal (Series 39)
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Equity Trader Limited Representative (Series 55)
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Comment Period Expires May 31, 1999
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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).
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Internal AuditLegal & ComplianceRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to Article VI, Sections 3 and 4 of the NASD By-Laws to provide for the suspension or cancellation of the registration of an associated person in
When you enter an order to buy or sell a stock, your registered financial professional must decide where to route your order. The most familiar type of execution venue is a traditional exchange. However, other execution venues, including alternative trading systems, single-dealer platforms and wholesalers, have risen in popularity in recent years.
For Your Information
National Association of Securities Dealers, Inc.
April 1989
NASD Releases Interpretive Summaries Under SEC Rule 19c-4
The NASD recently made available summaries of interpretive letters issued under Securities and Exchange Commission Rule 19c-4. That rule prohibits the major securities markets from listing companies that issue securities or take other corporate actions
TO: All NASD Members and Other Interested Persons
The following is a list of NASD Notices to Members issued during the third quarter of 1986. 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.
Notice Number
Date
Topic
86-48
July 8, 1986
NASDAQ National
