Over regulation is hurting not only Stock Brokers ,it is hurting Insurance Agents as well. Regulators should not be able to kill an industry just so they can justify their jobs. With Fixed Index Annuities the suitability forms and requirements are beyond reason, and have killed millions of dollars worth of sales, and hurt millions of agents and potential customers.
I am a Registered Nurse with no formal financial/stock education. I however can do my own due diligence when it comes to what stocks I decide to buy and invest in. The inverse/leveraged ETFs allow me to easily diversify and lower my overall risks. STAY OUT OF MY ACCOUNTS AND FOCUSE YOUR TIME ON SOMETHING USEFUL!
(a) Respondent(s) must serve each other party with the following documents within 45 days of receipt of the statement of claim:
(1) Signed and dated Submission Agreement; and
(2) An answer specifying the relevant facts and available defenses to the statement of claim.
The respondent may include any additional documents supporting the answer to the statement of claim. Parties that fail to
Effective with the October 3, 2011 OATS Release, the OATS Rules will require member firms to report to FINRA order information for all NMS stocks and OTC equity securities. Initial public offerings (IPOs), secondary offerings, Direct Participation Programs (DPPs), "restricted securities", as defined by SEC Rule 144(a)(3) under the Securities Act of 1933, and any securities designated in the PORTAL Market are not reportable to OATS.
SEC Approves Proposed Rule Filing SR-FINRA-2011-063 related to Information Barrier ID, Customer Instruction Flag and the OATS Reporting Deadline.
The content outline has been established by FINRA and NFA for use by firms in developing their Firm Element training programs. The outline contains five modules or segments: (1) Stock and Stock Options; (2) Futures Contracts; (3) Security Futures Products; (4) Regulatory Requirements for Security Futures; and (5) Supervision of the Offer and Sale of Security Futures. You may also access an online
Transparency is key. It's a free market, but not a fair one. The odds are purposely hidden, stacked against the retail traders and then manipulated. It's time for change. It's also time for margin calls, though in the case of stocks like AMC and GME, this is about more than just money.
FINRA -should not limit my choose to invest in leveraged and inverse funds. With inverse funds I can still manage to potentially make gains in an IRA account as I cant short in this type of account. If you limit this I can only go down. I have a collage degree and understand the risk associated with any type of trading or investment. I have gone to school for trading and am doing what I love to
Trade Reporting Notice - 8/14/08 - Trade Reporting Frequently Asked Questions
