On April 24, 2000, NASD Regulation issued an new interpretation under NASD Rule 2110, Standards of Commercial Honor and Principles of Trade, to require a member that provides a written confirmation for a transaction involving callable common stock to disclose on the confirmation that the security is callable and that the customer may wish to contact the member for more information regarding the
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to Rules 2520 and 2522 that will revise the margin requirements to: (1) expand the types of short options positions that would be considered "covered" in a cash account, specifically, certain short positions that are components of limited risk spread strategies, provided
I know you guys are trying to justify your bureaucratic existence, but please stop pretending to protect investors from themselves with these silly rules. You are barking up the wrong tree here. If you REALLY want to help small investors, start investigating all the manipulation going on by the BIG DOGS and do something about THAT!!!!
All, I am opposed to FINRA Rule #22-08 Please do not do this. We need the freedom to make our own investing choices. We should not be restricted or limited to what the big banks and regulators deem to there advantage. I like most investors, are knowledgeable and understand the risks involved. We need the freedom to compete in this market.
The additional rules proposed by FINRA does not protect the public as whole, rather only protects a small few that wants additional control on the free market. We are currently able to trade knowing the risks and rewards - the people do not need high net worth, special classes / tests, or additional government regulations imposed on us.
I'm an educated investor and myself not regulators should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. Being educated in the market allows me to use my knowledge to offset normal market cycles. Please consider voting no to this proposed rule.
Use Of National Association Of Securities Dealers, Inc., Parent And Subsidiary Logos
In response to recent requests from member firms to use one of the corporate logo icons (logos) on their Web pages to indicate a link to one of the three corporate Web sites, this FYI is being issued to clarify the position of NASD Regulation, Inc. (NASD Regulation), the National Association of Securities
I would like to see better enforcement of short sale rule (SSR) used by hedge funds. I would like to see more frequent public reporting of short positions and more detail in public reports of SSR movements.
T+0 reporting of short interest. No using the options chain to push FTD's past the original settlement date. Restrict the use of dark pools to trades larger than %5 of the float. Generally enforce existing rules in good faith.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., is filing with the SEC a proposed rule change to amend NASD Rule 2520 to impose overall more stringent margin requirements for day-trading customers. The proposed rule change would:
Revise the definition of "pattern day trader" to include any customer who (a) the firm knows or has a reasonable basis to believe will
