(a) A party may make a motion asking the panel to order another party to produce documents or information if the other party has:
• Failed to comply with Rule 12506 or 12507; or
• Objected to the production of documents or information under Rule 12508.
(b) Motions to compel discovery must be made, and will be decided, in accordance with Rule
I should be my responsibility to select the type of product I am interested to buy and to accept responsibility for the choice. Many individual stocks are even more risky. Do not take another freedom of choice. Make sure relevant information is provided and available but leave the decision up to the individuals.
This User Support page provides links to help and training resources for users of CRD. Listed below are a variety of user support documentation created to provide CRD users with assistance that ranges from high-level overview to step-by-step detailed instructions.
June 29, 2001
To ensure OATS works effectively, order data must be reported accurately and timely. The NASD Market Regulation Department recommends the following guidelines to aid member firms in their responsibility to properly report order data to OATS.
Ten Preventive Compliance Tips:
Review the OATS Web interface daily to ensure all files have been accepted.
Review the Web Site
Fairness , Transparency and access to all/same information and tech the big guys are using. Fair market all around. Justice for the little guys. For what they did to us in 08 and for what they are doing now. Malpractice Market manipulation
It is more than obvious that several agencies are not complying with the rules for naked shorts and FTD's. Retail investors should have the same real time information as hedge funds to include short interest and real time trading.
Information about a product you invest in is incredibly important, and I think ensuring brokerages are properly informing retail investors about the risks of the product they are investing in would benefit everyone involved. However, I find the proposed regulations of forcing those holding leveraged products to sell at the end of every day and limiting capping profits/losses of a leveraged
I will always support my God giving will to choose what I want and to invest in securities I want to choose. Just because I gave my email above, I do not wish to be sent any further information on future communications use the current United States Postal Service. Sincerely and with
I am writing to inform you that I oppose this regulatory proposal to limit access to leveraged and inverse funds. I feel that retail investors like myself are more than capable of understanding the technicals and risks of leveraged and inverse etfs. Restricting trading of these equities is a violates the principles of the free market.
There are already disclaimers set up at several brokerages regarding high risk investments such as leveraged funds. Fidelity had me sign one already because I changed my investment style . It is up to the individual to gain the knowledge one needs to make informed decisions, not the government .
