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The RegTech Association is a non profit, global industry association representing 160 organisations across the RegTech spectrum including banks, financial institutions, intermediary service providers, large tech and 120 RegTech companies. We work closely with regulators like FINRA to surface the discussions, promote the benefits of initiatives such as the Machine Readable Rulebook that lead to
I apologize for the undoubtedly large number of submissions you are likely receiving from those simply looking to vent rather than actually comment on the specific matters in this notice. The scope of volume seen in trading is absolutely daunting, and I think the first question that should be asked regarding any information being collected is whether it is purely self-reported, or if there is
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Mutual Fund
Operations
Systems
Trading
Executive Summary
On March 17, 1995, the Securities and Exchange Commission (SEC) approved the NASD's amendments to Sections 5, 6, 12,46, and 64 of the Uniform Practice Code (the UPC) and Sections 1 and 26 of the Rules of Fair Practice (the RFP) to conform the NASD's
[REDACTED]. Freedom and the ability to make your own prosperity is paramount to American freedom. [REDACTED] this nonsense
Comment Period Expires October 17, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInternal AuditLegal & ComplianceOperationsSystemsTrading
Executive Summary
The NASD® requests comment on a proposal to require the use of Standard Transferor and Transferee Applications for Transfer of Direct Participation Programs (DPP) Securities, Standard Registration Confirmation Form, and
It's really touching that you bozos think you know what's best for everyone and feel a need to save us drooling, unthinking masses from ourselves like a white knight you hear about in the fairy tales. Your condescension is not wanted nor appreciated. I personally know plenty of accredited investors and Series 7-licensed individuals alike who couldn't accurately tell you the
Please do not block, we have the rights to select the products we want to invest
While I understand that this RFC is for members to provide feedback, I would like to provide some general comments as an individual investor who makes extensive use of geared ETFs. Accordingly, most of my comments are "geared" towards them (sorry, had to!). For your consideration:
1. There is no relationship or similarity between the various products outlined in this RFC.
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsSystemsTrading
Executive Summary
On January 6, 1994, the Securities and Exchange Commission (SEC) approved an amendment adding a new Section 46 to the NASD Rules of Fair Practice that requires members holding open orders to adjust the price and the size, if necessary, of the order by the amount of any dividend, payment, or
Leveraged ETFs are an essential tool for my investment strategy. I understand they are risky, and I am able to take a big drawdown. Please dont ban them from small time investors!