I am opposed to the implementation of this rule. I am a small scale, non-pro investor and these type of ETFs come in handy when I believe I have determined the direction of a given market. Like ALL investment vehicles, there are risks involved. But to make requirements for participation restrictive to certain accounts is just absurd to me.
I oppose regulations that limit small investors ability to invest in leveraged and inverse funds. This is a basic principle of fairness. Should these vehicles only be available to high net worth individuals? There is enough special privilege already in the system that rigs the system against individual investors. This rule amounts to further theft.
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to incorporate certain rules of New York Stock Exchange LLC (“NYSE”) relating to the regulation of member firm conduct (the “Incorporated NYSE Rules”). The Incorporated NYSE Rules will apply solely to members of the Financial Industry Regulatory Authority, Inc. (“FINRA”) that also are members
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to delay, until October 31, 2007, implementation of an amendment to Interpretive Material 2210-4 ("IM 2210-4") that is scheduled to be implemented on July 7, 2007. The recent amendment to IM-2210-4 requires an NASD member referring to its NASD membership on its
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 6130, 6130A, 6130C, 6130D and 6130E to prohibit members from submitting to an NASD Facility (i.e., the Alternative Display Facility ("ADF") or a Trade Reporting Facility) any report (including but not limited to reports of step-outs and
INFORMATIONAL
Non-Cash Compensation
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Rule 2710
Rule 2810
Non-Cash Compensation Provisions
Rule Modernization
Executive Summary
On April 7, 2003, NASD filed with the Securities and Exchange Commission (SEC) for immediate effectiveness
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 12100 and 13100 of the NASD Code of Arbitration Procedure for Customer Disputes ("Customer Code") and the NASD Code of Arbitration Procedure for Industry Disputes ("Industry Code") (together, the "Codes"), respectively, to
Executive Summary
On November 17, 2000, the Securities and Exchange Commission (SEC) adopted Exchange Act Rule 11Ac1-5 ("Rule"), which requires "market centers" that trade national market system securities to make available standardized, monthly reports containing statistical information about "covered order" executions. The Rule is intended to promote visibility
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend for an additional two-year period, to June 23, 2009, NASD's authority under the cease and desist pilot program. At this time, NASD is not proposing any substantive changes to the rules covered by the pilot program; the only changes regard extending the pilot
Guaranteed Senior Unsecured Debt Is a TRACE-Eligible Security
