ul.rulebook{list-style-type:none;padding-left:0px;}
ul.rulebook ul.rulebook{list-style-type:none;padding-left:30px;}
ul.rulebook ul.rulebook ul.rulebook{list-style-type:none;padding-left:60px;}
ul.rulebook ul.rulebook ul.rulebook ul.rulebook{list-style-type:none;padding-left:90px;}
ul.rulebook li{margin-top:20px;text-transform:uppercase;font-weight:400}
#tab-links, .book{display:none;}
Expand All
Permissible activities for a Series 6 Representative (Limited Representative - Investment Company and
INFORMATIONAL
Ex-Dividend Dates
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Trading & Market Making
Ex-Dividend Dates
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) Uniform Practice Code (UPC) governs, among other things, the designation of "ex-dividend dates" (
This is a statment that says I live in the US. Were we should have the right to purchase freely any stock, ETF, or any investments we choose with out regulation, passing a test or any other type of legislation that restricts our rights to choose an investment. This proposed legislation infringes our constitutional right to freedom and the pursuit of happiness. Do not take away our rights that we
Continuing Education Planning
Please do not take away my ability to purchase leverage and inverse funds. I have many of these and have invested in them for many years. They have helped me protect my retirement investments. If you can allow all of these young kids to invest in Meme stocks via Robinhood, then why in the world would you restrict us old folks from investing in whatever we want?
Im a retail investor. About 10 years ago I bought an inverse ETF fund after hearing it recommended on a PBS stock market program. It never was in the black - it only lost value. Its now down more then 90%. I can understand how these investment vehicles can be effective for sophisticated investors and industry professionals but sales to the general public should be restricted. They are too
As a grown adult living in the United States of America, I believe that everyone should have the freedom to invest as they please, regardless of the privileges afforded to them by the circumstances of their birth or upbringing. Someone who is literate enough to purchase leveraged exchange-traded funds is similarly literate enough to research and understand them. In most cases, these leveraged
I use leveraged ETFs everyday and am well aware of the risks involved. Pulling retail access from them cripples the idea of a free market. Removing them does not make the market any less risky for retail investors, there are plenty of retail investors who have lost it all on worthless meme stocks such as $GME. This proposal makes no sense once its thought out and reduces 0 risk.
Please do not bring regulations that stifle adoption and investment. This is all part of freedom being able to invest in an asset (precious metals, precious stones, stocks, bonds, currency or digital currency etc), claiming America being a free nation, and not allowing financial freedom such as investment as long it's within guidelines of law that protects the investor from scammers and
