NASDR has filed with the SEC a proposed rule change to National Association of Securities Dealers, Inc. Rules 3010 and 3110 to implement the effective date of recently-approved amendments to these rules. The amendments allow firms to develop flexible procedure for the review of correspondence with the public.
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperations*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On April 17, 1991, the Department of Treasury issued 56 FR 15529-15532 containing proposed amendments to 17 CFR Part 403 ("Protection of Customer Securities and Balances"). The proposal would implement a buy-
FINRA reporting should fully cover all positions held in publicly traded companies. The reporting period should follow the standard settlement period. All reporting should be made available to the public within 2 hours of market close on a daily basis. All positions, including short positions should be required to be included without exception. Failure to accurately disclose a short position in
Proposed Rule Change to Amend the FINRA Rule 9550 Series (Expedited Proceedings)
SUGGESTED ROUTING
Senior Management
Advertising
Government Securities
Legal & Compliance
Executive Summary
On August 9, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 35 of the NASD® Rules of Fair Practice and Section 8 of the Government Securities Rules (collectively, the Rules) to broaden the definitions of, and revise the
I am able to make my own investing choices. I would never invest in any type of investment that I have not done my own research on and feel comfortable with.
We do not need more unnecessary rules.
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
Members are invited to vote on a proposed new Section 45 to
I am adamantly against the proposed rule to end inverse and other similar products. During volatile market periods, these products have helped to protect my portfolio. Thank for the opportunity to express my viewpoint on this matter.
I use leveraged funds as a strategic portion of my investments. Overall, it makes up a very small part of my net worth. Please do not change the rules on me. This does not protect people like me.
Comments:i been making money on TQQQ and SQQQ. makes no sense to impose this nonsense rule. also dont even try to care about peoples finances when crippling student loans / predatory loans are everywhere.
