The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to require clearing firms and market makers that are members of the NASD to conduct or to participate in the testing of their computer systems to ascertain decimal pricing conversion compatibility of those systems.
Please allow individual plans to formulate their own investing rules without the government adding new laws and restrictions. Risks of investing in cryptocurrency funds such as BITO are understandable by investors such as myself. There are many public funds that are of high risk that do not incur onerous investment restrictions.
Honestly it's fine the way it is. It's not that complex for most investors. No one should be buying things they don't understand. That goes for appliances too and we don't have to take a for those. Casinos have complex rules for some and again - no tests required.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to the Code of Arbitration Procedure to encourage the use of mediation and increase revenue by adjusting mediation fee schedules, and to permit parties to agree to stay arbitrations in order to mediate the claim.
Proposed Rule Change Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., is filing with the SEC a proposed rule change to amend NASD IM-8310-2 to provide for the publication of all final, litigated decisions issued by the Office of Hearing Officers, the National Adjudicatory Council and the NASD Board, regardless of sanctions imposed.
On May 12, 2014 FINRA filed for immediate effectiveness SR-FINRA-2014-024 with the Securities and Exchange Commission ("SEC").
This is a grossly unfair proposal. All investors should be given the same opportunities to invest. The regulator has now right to give the rich and Wall Street crowd special investment opportunities that middle class investors dont have. Such rules contribute to more economic inequality.
I believe it is up to each individual to perform their own due diligence before investing in a stock, etf, etn or mutual fund.
Leveraged and inverse funds offer opportunities to those that handle their own investments, burdensome rules and regulations will serve to limit access by the independent investors.
SR-FINRA-2009-026 - Proposal to Amend Various Rules of the Customer Code and Industry Code to Correct Typographical Errors and Implement Other Non-Substantive Technical Changes
