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Regulatory Notice 08-59
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009; Payment Deadline: December 12, 2008
Extended-Hours Trading: Know the Risks
Technology has made stock trading more accessible to retail investors in a variety of ways, including the increased availability of extended-hours trading. But while placing an order to trade outside of regular trading hours might seem simple, this market can be complex and risky.
Regulatory Notice 23-20
This Notice discusses the guidance and other resources available to assist members with their compliance efforts in connection with the Securities and Exchange Commission’s (SEC) Regulation Best Interest (Reg BI).
Regulatory Notice 07-48
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2008
Notice to Members 07-27
REQUEST FOR COMMENT SUGGESTED ROUTING KEY TOPICS Corporate FinancingExecutive RepresentativesLegal & ComplianceSenior ManagementOperations AffiliatesControl EntityInstitutional AccountsMember Private OfferingsPrivate PlacementsPrivate Placement MemorandumRegulation D Member Private Offerings Executive Summary NASD is issuing this Notice to Members to solicit comments from
Arnold B Allison Comment On Regulatory Notice 22-08
COMMENTS ON 22-08 You have made this request for comments so complicated that it is hard to follow. I will just list my ideas and you can try to sort them out. On my trip from model airplanes to airline captain I have made many replies that affected new FARs. This a free country and everyone should be able to risk some $ and try to make more $. This should include hedge funds, but limited to a
Raymond Quinn Comment On Regulatory Notice 22-08
Re: FINRA Ive Invested in the Markets for over 12yrs, Ive always appreciated the fact that I could Invest freely, make my own choices and decisions on what, where, Why & when I choose to Invest, Moreover, and based on the proliferation & numerous tools & Resources available to the Individual Retail Investor these days the case for the freedom of choice became even more
Alan Brend Comment On Regulatory Notice 22-08
Thank you for the opportunity to comment on the proposed changes to "Complex Products" like L&I Funds, etc. Apparently once again the government thinks that all Americans are idiots. Concern that investors may be "confused" by "complex products" - I find this attitude highly offensive. I would very much prefer that you leave
Stephen Dippolito Comment On Regulatory Notice 22-08
Re: FINRA Ive Invested in the Markets for over 12yrs, Ive always appreciated the fact that I could Invest freely, make my own choices and decisions on what, where, Why & when I choose to Invest, Moreover, and based on the proliferation & numerous tools & Resources available to the Individual Retail Investor these days the case for the freedom of choice became even more
Notice to Members 06-34
ACTION REQUIRED NASD Rule 3070 System Requirements SUGGESTED ROUTING KEY TOPICS Chief Compliance Officer Legal and Compliance Operations Senior Management NASD Rule 3070 System Requirements Executive Summary NASD Rule 3070(c) requires members to report to