(a) Definitions
The following terms shall, unless the context otherwise requires, have the stated meanings:
(1) Aggregate Exercise Price — The term "aggregate exercise price" means the exercise price of an option contract multiplied by the number of units of the underlying security covered by such option contract.
(2) Call — The term "call" means an option contract under
Please do not restrict any of the leveraged funds access as I use these funds in an intelligent manner and follow the signal system method ( jason kelly sig system )of buying and selling these funds every quarter based on past performances . These funds can be volitile but when used in a systematic mathematical system they are very rewarding as they just follow the index or commodity . I have
Clarification Of Notice To Memers 98-10
NASD Notice to Members 98-10 (January 1998) entitled "Transaction Reporting And Quotation Obligations Under the Fixed Income Pricing System (FIPS)" contained a question and answer concerning compliance officers and the need for firms to report all transactions under The Nasdaq Stock Market, Inc., Fixed Income Pricing SystemSM (FIPSSM), regardless
I understand that in your efforts to protect investors from themselves you are planning to impose yet more suffocating rules and regulations. Please don't. Over regulation is running rampant and is already doing serious damage to our freedoms and productivity. Thanks for thinking of us, but please refrain.
I am one of millions who appreciate having timely and relatively unfettered
I am writing to state my opposition to any new rules (Notice #22-08) which would restrict my ability as an individual investor to use many of the investment products available, including leveraged and inverse investment products. I believe that the job of FINRA should be to assure us that the products are soundly constructed and to insure that the risks associated with their use are adequately
<p>NASD Rule 1020 Series - Registration of Principals</p>
This proposed regulation is backwards. Restricting the individual on their financial choices through regulation will only hurt individual investors and benefit wealth or institutional investors. These regulations stink of the wealthy and large institutional investors attempting to protect the market from retail investors. They thought for a long time that they held a monopoly on investment
<p>A broker/dealer cannot pay continuing commissions to a former registered representative who is no longer in the securities industry, unless such payments are made in reliance on an SEC no-action position addressing the permissibility of those payments under Section 15(a) of the Securities Exchange Act of 1934; under the facts presented, NASD IM-2420-2 did not apply.</p>
I am a private investor and am writing this letter to express my concerns with the actions proposed in the FINRA regulatory notice 22-08. The actions described in the notice seem to fall under the premise that the government can chose the publicly traded investments that are best for me or worse, I have to jump through hoops to pass some sort of government test to invest in things such as
In regards to restricting people's ability to invest in leveraged and inverse funds. I will chose to believe that this is a well intentioned regulation to prevent people who may not know what they are doing from losing big in a down turn. But this also disallows poor people and those who may be just starting out, the potential for higher returns on their investments. This would take away
