GUIDANCE
Short Sales
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Rule 5100
Short Sales
Executive Summary
On October 2, 2006, the Securities and Exchange Commission
(SEC) approved an exemption to NASD Rule 5100 (Short Sale Rule)
for securities included in the NASDAQ-100
Dear FINRA, First of all, I am the owner of my own money. The regulators have no right AT ALL to make me go through certain process to make my own investment decisions. Leveraged and inverse funds are important to my investment strategies. I put part of my investment fund in TQQQ and UPRO on a regular basis as a long-term bet for the positive outlook of US economy. People would argue that TQQQ or
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
Dear FINRA REGULATORS:
As a registered rep. for Hornblower & Weeks at 40 Wall, NYC, in 1960 and later at their uptown offices on Park Avenue at 50th, I became a devotee of Elliot Wave Theory and Edwards and Magee's Tech Stock studies. I had several times visited the packed, busy floor of the NY Stock Exchange on Broad Street, which today is virtually barren of human life.
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Member firms are reminded of their obligation to file, and the due dates for, FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports. The schedules in this Notice outline the due dates for year-end 2007 reports and for 2008 reports.
INFORMATIONALAmendments to NASD Rule 3370, Affirmative Determination RequirementsEffective Date: February 20, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsNASD Rule 3370Short Sale OrdersExecutive SummaryThe Securities and Exchange Commission (SEC) approved amendments to Rule 3370 (Prompt Receipt and Delivery of Securities—the "
FINRA: First off, thank you for accepting commentary on this matter. We need more transparent markets. In the crash of 2008 - I watched TV talking heads (ex hedge fund managers mind you) telling people to buy BEAR STEARNS among my days of going to school and working three jobs getting my FINANCE DEGREE between that time. It took me forever to get a foot in the door because the lack of
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 3360 to expand the short interest reporting requirements to over-the-counter ("OTC") equity securities.
