NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt a Uniform Branch Office Registration Form ("Form BR") and to make conforming changes and technical revisions to the Uniform Application for Securities Industry Registration or Transfer ("Form U4") and the Uniform Termination Notice for
This regulation would threaten my financial stability as a consumer. The only way I protected myself against the rise in fuel price has been buying levered gasoline ETF's. Please do not move forward with the rule change. Millions will suffer because they will be stuck to investment options that only their employer can control.
NASD has submitted with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the study outline and selection specifications for the Limited Principal – Registered Options (Series 4) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination.
NASD has filed with the Securities and Exchange Commission (“SEC” or “Commission”) Notice to Members (“NtM”) 05-11, providing further guidance regarding members’ obligations under Section 3 of Schedule A to the NASD By-Laws (Regulatory Transaction Fees) and a self-reporting form that is used by members to report trade data that is not captured by NASD’s trade reporting system.
New traders have to learn their job like anyone else on any other job, and learning about the risks and rewards of leveraged and inverse funds only takes a couple of quick real-life lessons. There is no need to impose a bunch of convoluted rules and regulations on these financial tools that make trading difficult for the rest of us.
Hi, I believe this is a gross over reach of regulation. Its border line insulting to believe that average people are incapable of assessing risk/reward for themselves. This would only hinder the average persons ability to participate in the financial markets. This is a rule that would benefit the already wealthy class and hinder the middle class ability to advance.
NASD has filed with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the study outline and selection specifications for the Limited Representative – Equity Trader (Series 55) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination. NASD is not
NASD has filed with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the study outline and selection specifications for the Assistant Representative – Order Processing (Series 11) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination. NASD is not proposing any
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Executive Summary
On March 17, 1994, the Securities and Exchange Commission (SEC) approved amendments to the NASD Rules of Fair Practice to: (1) require filings of investment company advertisements and sales literature that incorporate mutual fund rankings to include a copy of the ranking or
NASD has filed with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure (“Code”) by adopting a new Interpretive Material (IM) 10308 to clarify that (1) fees for service as a mediator are not included in determining whether an attorney, accountant, or other professional derives 10% of his or her annual revenue from
