To Whom it May Concern, In a fair and open market there should be transparency and a level playing field for all investors. Right now, there is a massive deficit in access to information, trade speed, preferential terms and types of trades, and pay-to-play investing that heavily favors institutional investors over retail investors. Additionally, institutional investors engage in relationship-
To Whom it May Concern, In a fair and open market there should be transparency and a level playing field for all investors. Right now, there is a massive deficit in access to information, trade speed, preferential terms and types of trades, and pay-to-play investing that heavily favors institutional investors over retail investors. Additionally, institutional investors engage in relationship-
SUBJECT LINE: Regulatory Notice 21-19 To Whom it May Concern, In a fair and open market there should be transparency and a level playing field for all investors. Right now, there is a massive deficit in access to information, trade speed, preferential terms and types of trades, and pay-to-play investing that heavily favors institutional investors over retail investors. Additionally, institutional
In a fair and open market there should be transparency and a level playing field for all investors. Right now, there is a massive deficit in access to information, trade speed, preferential terms and types of trades, and pay-to-play investing that heavily favors institutional investors over retail investors. Additionally, institutional investors engage in relationship-based, illegal, or near-
GUIDANCE
Options Position and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior Management
Trading
Training
Exercise Limits
Options
Position Limits
Rule 2860
Executive Summary
On January 25, 2007, NASD filed for immediate effectiveness with
the Securities and Exchange Commission (SEC) amendments to
Rule 2860 extening until
Similar to other fixed-income securities with a specified maturity rate and a schedule of interest payments, baby bonds are available for a much lower investment than most other types of corporate bonds. While this can make them more accessible to individual investors, a lower investment minimum doesn’t mean lower risks.
GUIDANCE
Options Position and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior management
Trading
Training
Exercise Limits
Options
Position Limits
Rule 2860
Executive Summary
On August 10, 2006, NASD filed for immediate effectiveness with
the Securities and Exchange Commission (SEC) amendments to Rule 2860 extending until
GUIDANCE
Options Position and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior management
Trading
Training
Exercise Limits
Options
Position Limits
Rule 2860
Executive Summary
On February 16, 2006, NASD filed for immediate effectiveness with
the Securities and Exchange Commission (SEC) amendments to Rule 2860 extending until
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