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TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 17, 1987, the following 10 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,076:
Symbol*
Company
Location
BCKY
As a retail investor that has garnered a profit over the years trading options as well as holding leveraged ETFs on and off and having gleaned through the wealth of information available to me about these products I don't believe there's any need for further regulation. Both options and leveraged ETFs should be trade-able by "non-sophisticated" retail investors at their own
I think that the proposed reduction to one minute reporting other than help investor protection will create a lot of problems for member firms, specially small firms. I think (and I am sure will happen more with small firms) that the number of errors in ticket generation will increase tremendously. This will then create delays in matching and settling trades (in addition to TRACE violations for
Transitioning to a 1 minute reporting time frame would make it more expensive for clients and make it harder for small firms like us to truly obtain best execution as we would be limited to only trading through our clearing firm. It’s a horrible idea and needs to be eliminated.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT IS APRIL 15, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article I, Section (c) of the NASD By-Laws and Schedule C to the NASD By-Laws that would clarify that branch offices of NASD member firms located outside the United States fall within the definition of "branch office."
The
I am a retail investor and use leveraged ETFs for a portion of my portfolio. Before buying these leveraged ETFs, I did a significant amount of research to understand the risks. This included back testing how the funds would behave in different market and monetary conditions. I also read the prospectuses for the funds. All this information was available and provided sufficient information on the
The 1 minute rule proposed would be very difficult for small broker dealers to keep, and would represent a major hurdle to our fixed income business. Most small broker dealers as is our case do not have a dedicate trading desk to handle this proposed new 1 minute rule, nor do they have the state of the art software that big firms may have access to. While compliance may be possible, this would
Comment Period Expires November 7, 1994
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceSystemsTrading
Executive Summary
On September 19, 1994, the Board of Governors approved issuance of a Notice to Members soliciting comment on proposals to expand the scope of limit-order protection beyond that presently afforded by member firms to their customers in The Nasdaq Stock
(a) Recording and Reporting Industry Member Data
(1) Subject to paragraph (a)(3) below, each Industry Member shall record and electronically report to the Central Repository the following details for each order and each Reportable Event, as applicable ("Recorded Industry Member Data") in the manner prescribed by the Operating Committee pursuant to the CAT NMS Plan:
(A) for original
Dollars have no intrinsic value, so if any member of the public wants to gamble with them using what you call 'complex products', this should be entirely possible so as to have a level playing field with wall street. Educational materials are good. Less regulation is better, ending the federal reserve bank would be best.