(a) Purposes
The purposes of a pre-hearing conference include, but are not limited to:
(1) expediting the disposition of the proceeding;
(2) establishing procedures to manage the proceeding efficiently; and
(3) improving the quality of the hearing through more thorough preparation.
(b) Procedure
On his or her own motion or at the request of a Party, the Hearing Officer
The investment environment became very difficult because it could not keep inflation under control and because of all government spending and the war they created lately people are losing all their savings in the market It is not time for changing rules until the government correct the mess it created
Please stop doing this. You are infantalizing us with these rules, and only making it harder for the average person to participate in the market. The SEC only diminishes their credibility by pursuing arbitrary regulations on individual investors while shrugging their shoulders at the systemic risk posed by market makers.
You guys need to lay off the investing limitations. What a mess. The SEC just keeps helping the rich get richer. Seems like the agency is trying to expand the accredited investor rules... to helps the rich get richer. Leave crypto alone.
Please do not impose or infringe on any reasonable citizens prudence and ability to invest freely. Any arbitrary restrictions should be considered as such. Please forego any rule or measure that's an outright impediment to free choice and flies in the face of empowering citizens rights.
I am smart enough to earn my income, I believe that I am intelligent enough to make my own investment decisions. Testing me to invest my own money is ridiculous. Please consider my view when deciding on FINRA Rule#22-08.
Proposed Rule Change to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt New Standardized Electronic Form CMA
If you read the Regulatory Notice 12-38 regarding FINRA's Short-Interest Reporting Rule, you'll come across this particularly relevant question in the FAQs. Q7. How should a firm reflect fractional shares in its short-interest reports? A7. If a firm has a fractional short-interest position (e.g., 125.6 shares), it should truncate the position to reflect a whole number when reporting
SUGGESTED ROUTING*
Legal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD has initiated an electronic filing system for use by members in submitting Regulation T/SEC Rule 15c3-3 extension requests. Subscribers to this Automated Regulatory Reporting System (ARRS) are encouraged to submit
Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees and Assess a Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
