NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed NASD Rule 2342, which would require members to advise all new customers, in writing, at the opening of an account, and all customers at least once each year that they may obtain information about the Securities Investor Protection Corporation ("SIPC"), including the
It's my family's money at risk. We are perfectly capable of understanding leveraged and inverse funds. Let us decide which vehicles we use. This proposal will only help the large institutions by once again handicapping the private investors even more with so called rules designed to "protect" them.
This would restrict my ability to purchase equites that I have held for a long time and would also decrease the value of some o the investments that I hold (no longer allowing many to purchase them). I also hedge my portfolio thru the use of some of these funds. This rule would adversely affect me and I am against it.
Hey, just wanted to let you know that I think this regulation is a great idea and should be adopted. Im concerned about predatory "advisors" and other bad actors selling confusing products to people who arent equipped to understand them and appreciate the govenmemt stepping in here. Please do impliment this rule.
Reports published for firms to monitor their performance in reporting disclosure and non-disclosure events and CRD late filing fee information.
Proposed Rule Change to Extend Through June 30, 2005, the Current Pilot Price-Improvement Standards for Decimalized Securities Contained in NASD Interpretive Material 2110-2 - Trading Ahead of Customer Limit Order
An alternative trading system (ATS) is an SEC-regulated trading venue in which a computerized system matches buy and sell orders of securities. An ATS is not a national securities exchange, an ATS may apply to the SEC to become a national securities exchange. An ATS that registers as a broker-dealer must also comply with the obligations associated with being a registered broker-dealer, including FINRA membership and compliance with FINRA rules.
I believe limiting my ability to invest in crypto eft and inverse etf and leverage etf is wrong. I urge you to dismiss this ruling and and other that would limit my investment choices. I know the risks involved and invest according. Thank you for taking time out to read my thoughts Mark Packer
The Communications with the Public section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
NASD has filed with the SEC a proposed rule change to extend for nine months, to July 26, 2005, the operation of NASD’s Alternative Display Facility (“ADF”) on a pilot basis. The ADF pilot program, as approved by the SEC on July 24, 2002, and extended on April 17, 2003 and January 26, 2004, will expire on October 26, 2004. The pilot permits members to quote and trade only
