I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds and their risks. I do not need these measures imposed on you. FINRAs definition of complex products is so broad, arbitrary and vague that it could ensnare a vast number of commonly used
If this regulation is necessary why wouldn't every investment require a similar set of regulations? Why not a test for every investment - including the US Dollar? I would much prefer that you mandated a test for the right to vote. BTW - I also know that if I spill burning hot coffee on myself it will hurt. Do we need to add a detachable form to hot-cups acknowledging the purchaser's
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Executive Summary
On January 7, 1997, in Release No. 34-38132, the Securities and Exchange Commission (SEC) approved NASD® rules permitting the quotation of Direct Participation Programs (DPPs or limited partnerships) in the OTC Bulletin Board® Service (OTCBB) and requiring all
I do not need to take a test I have been trading leveraged and inverse funds for 25 years.
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In light of recently enacted federal law, NASD Regulation, Inc. (NASD RegulationSM)
I know the risks and rewards in leveraged investment strategies.
I do not need to take any test to invest in these.
The Cyber and Analytics Unit (CAU) within FINRA’s National Cause and Financial Crimes Detection (NCFC) program is highlighting a statement released today by President Biden regarding possible threats to our nation’s cyber security, urging private sector companies to remain vigilant and harden their cyber defenses "immediately" based on "evolving intelligence that the Russian
FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
The Neutral Corner - Volume 1—2022
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Executive Summary
Members that transact business in securities designated in The PORTAL™ Market, which are not PORTAL participants, must notify the NASD of certain summary information about the volume and frequency of transactions by June 15, 1995.
Introduction
The Nasdaq Stock Market™ operates The PORTAL Market for
