NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Principal - Financial and Operations (Series 27) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination and to better reflect the
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Representative - Direct Participation Programs (Series 22) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination and to better
<p>Intersection between the NASD's Limit Order Protection Rule and Rule 206(3) of the Investment Advisors Act of 1940 for fee-based wrap accounts.</p><p> </p><p>[NASDAQ Staff Interpretive Letter]</p>
I strongly support any rule change that brings greater transparency to our financial markets. Daily reporting requirements will surely help retail investors better understand what these large financial players are doing to our markets.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to require members to report all transactions that must be reported to NASD and that are subject to a regulatory transaction fee pursuant to Section 3 of Schedule A to the NASD By-Laws to the Nasdaq Market Center ("NMC") and/or the Trade Reporting and Comparison
I would expect firms, banks, funds, institutions to have to disclose short positions as well as naked short interest as it directly affects company stock value which affects investor's investments. Make it a rule and enforce it.
<p>NASD Rules 6950-6957 (OATS)</p>Clarification of application of the OATS rules.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to (1) amend NASD rules to modify and expand NASD's authority to initiate trading and quotation halts in over-the-counter ("OTC") equity securities; and (2) adopt IM-6660-1 to identify certain factors that NASD may consider in determining, in its discretion
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") an extension of the effective date of amendments to NASD Rule 3010(g)(2)(A) which defines the term "branch office," and related IM-3010-1 which provides guidance on factors to be considered by members when conducting internal inspections of offices ("Uniform Branch Office
I am against the passage of Proposed Rule #S7-24-15. I have found leveraged and inverse ETF's easy to understand and trade. The risk involved in high beta stocks can be higher. I prefer to trade long in lieu of short selling and puts. Inverse EFT's are my vehicle for being long but bearish.
