I not regulators should be able to choose the public
investments that are right for me.
Public investments should be available to all of the public,
not just the privileged.
My Investment Advisor of many years experience has managed my investments to my satisfaction for over 15 years.
The very idea that an unknown, to me, group of so called regulators will over ride what
I am a retail investor and have been trading various of these “complex” products for well over a decade (leveraged/inverse ETF’s and options). I find the premise of this Regulatory notice to be highly suspect – that retail investors are not sophisticated enough to be able to trade these PUBLIC instruments and should have sufficiently high impediments put in place to discourage or bar their use (
Exemption Reporting Under SEA Rule 15c3-3(k) - Frequently Asked Questions
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
September 2005
In a continuing effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual Fund*These are suggested departments only. Others may be appropriate for your firm.
The NASD has recently received information about the increasing use of so-called "negative response" letters. These letters are used to facilitate members' recommendations that customers switch from one mutual fund to
Last modified: November 17, 2023FINRA's Arbitration Awards database enables users to perform Web-based searches for FINRA and historical NASD arbitration awards free of charge, seven days a week. Also available through the site are historical awards for New York Stock Exchange, the American Stock Exchange, the Philadelphia Stock Exchange, and the Municipal Securities Rulemaking Board. Users
Summary
FINRA has released an updated Security Futures Risk Disclosure Statement (2020 Statement) to replace the one that was last updated in 2018, and a supplement (2020 Supplement) that reflects the disclosure updates described herein.1 The 2020 Statement incorporates all cumulative changes made to date, which include, among others, conforming changes for updates to the market-wide circuit
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
Mr. Chairman and Members of the Committee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
