I believe that most people who do choose to invest in these funds are aware of the risks and do their own homework before they start investing. While I do believe that offering education on the risks, as well as risk mitigation strategies, would be beneficial for traders, I do not believe that extra layers of bureaucracy and testing will create better or safer traders, and will simply reduce the
I believe the PDT rule is unfairly restrictive to small investors. There is no way to learn without losing some trades. I have been trapped in losing trades trying to avoid triggering the PDT rule. Please get rid of this rule completely, as traders should be able to learn how to invest their own money at their own risk.
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Executive Summary
The Office of General Counsel, NASD Regulation, Inc. (NASD RegulationSM) and Office of General
Verification of Emailed Instructions to Transmit or Withdraw Assets From Customer Accounts
It is the responsibility of the investor, not the regulators to evaluate market risk. Predetermining these risk and who is qualified to take such risk is a slippery slope. Shall we regulate risk for public companies with historically high PE ratios? it is the investors responsibility to way risk and loss. Investors are not children, they need to take responsibility to for their actions. The
FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
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The Securities and Exchange Commission (SEC) recently adopted Rule 15c6-1 under the Securities Exchange Act of 1934 to establish three business days, instead of five, as the standard settlement time-frame
Executive SummaryThe purpose of this Election Notice is to notify FINRA small firm members of the Small Firm Advisory Committee (SFAC) election and the distribution of ballots. Two seats on the SFAC are up for election, one representing the North region and one representing the West region. FINRA small firm members1 in those regions as of the close of business on Thursday, October 17,
Firms could be vulnerable to a newly discovered social engineering scheme in which bad actors trick customer support personnel into downloading and executing malware. This Alert describes the scheme and provides recommendations to help firms protect themselves from the threat.
Sales Practice Obligations for Commodity Futures-Linked Securities
