Continuing Membership Guide - Frequently Asked Questions
Comments:The wide use of leveraged ETF offer me the complexity of investment features not found anywhere else. i have the broad knowledge and financial understanding of how these investments work and have utilized them for decades to benefit both me and the clients i serve in my investment management practice. I ask that new rules not be implimented, doing so will not dissuade an investor from
I oppose establishment of restrictions upon individuals to make investments as described in the proposed rule, #S7-24-15. While I support providing individuals with opinions and recommendations, restrictions intrude on decisions best made by individuals who weigh risk vs reward of investments made with their money.
Specific to crypto, individuals need no more restrictions than alternate
Taking away our own investment choices and control over our investments is wholly contrary to a free market and is against the founding fathers cardinal rule of Govt interfering with our freedoms. We know the risk. We assume the risk. I study the risks intently before investing. Stop government interference in free market capitalism and our freedoms or the snake will strike
I am writing to you regarding the government overreach that is FINRA #22-08. As an investor I expect that I should be able to make public investments without interference from the government. I understand it is my responsibility to educate myself on prospective investments and I don't expect to have to jump through government imposed hoops in order to do so. I urge you to not move
This rule should not be allowed to pass. It further infringes upon retail investors rights and access to free and fair markets. By limiting access to markets by tests that traders must pass or limiting to high wealth individuals is discrimination against all investors in a free market. This discrimination against the people who have 401k, ira, investments only will surve to hurt the people not
The record-keeping provisions of Rule 2360(b)(17)(B) shall be applicable to customer accounts approved to trade index warrants, currency index warrants, or currency warrants. The term "option" as used therein shall be deemed to include such warrants for purposes of this Rule.
Amended by SR-FINRA-2008-032 eff. Feb. 17, 2009.
Adopted by SR-NASD-95-37 eff. Sept. 28, 1995.
In a request for interpretive guidance, a member asks if NASD Rules prohibit a member from paying finders or referral fees to CPAs that are not registered as associated persons.
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Mutual Fund
Operations
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to the NASD mutual fund maximum sales charge rule that would subject
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(a) DefinitionsFor purposes of this Rule, the following terms shall have the meanings specified below:(1) The term "basket" shall mean a group of stocks that FINRA or any national securities exchange designates as eligible for execution in a single trade through its trading facilities and that consists of stocks whose inclusion and relative
