<p>The applicability of NASD Rule 3040 to situations in which associated persons are proposing to receive selling compensation.<br/></p>
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 3, 1988, the following two issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,976:
Symbol*
Company
Location
AKRN
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 5, 1988, the following thirteen issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,994:
Symbol*
Company
Location
CYTR
Proposed Rule Change to Amend FINRA Rule 7730(c) to establish a Limited Waiver of the TRACE Professional Real-Time Data Display Fee on a Pilot Basis
Proposed Rule Change to Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities that are Part of a Distribution and to Transfers of Equity Securities to Create or Redeem Instruments such as ADRs and ETFs
Subject: Investors ability to trade "complex products" - including leveraged and inverse funds (L&amp;I Funds)
Dear Regulators,
I am Janakiraman Chandrasekaran, 59 years old and I like to voice my opinion regarding your proposal on limiting access to Leveraged and Inverse ETFs (complex products).
Educated Investor: I like to inform you that I am an educated investor in
My first impression of this proposal is that it is a reaction to activities of individuals during the recent pandemic. Those who followed Wall Street Bets chasing meme stocks succumbed to, as Glenn Frey wrote in Smugglers Blues, "The lure of easy money is a very strong disease." As such the cure for such affliction would be better found with "Gamblers Anonymous"
Dear FINRA,
As a retail investor, I was shocked to learn of the potential move to limit my access to financial products that have been available on public markets for years. I find the prospect of my ability to invest my money being limited simply because I am not a "high net worth" individual extremely upsetting, and I urge you to not restrict products deemed complex.
If I
On Friday, October 17, 2014, at 11:05:06 a.m. ET, the Financial Industry Regulatory Authority, Inc. (FINRA) halted quoting and trading in all OTC equity securities pursuant to FINRA Rule 6440(a)(3).
Dear regulators,
I believe, the US is a free country and it should be my choice of what I want to invest into and what not, not you. I originally came from a communist country where the government and regulators controlled and regulated every citizens' life. You are starting to remind me of those days.
Why are you going to punish responsible investors like me for a few irresponsible and
