I want the ability to make my own decisions on what investments to make and when to make them. Timing can be everything. A "cooling off period" could miss the opportunity. You don't have to take a test to invest in the market, go to Vegas, or buy expensive cars and toys, so why single this out? Some people aren't good at tests but are capable of incredible knowledge and
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In light of recently enacted federal law, NASD Regulation, Inc. (NASD RegulationSM)
I do not need to take a test I have been trading leveraged and inverse funds for 25 years.
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
I have been contacted by a website called "Let Everyone Invest" that says under the regulations being considered by the Financial Industry Regulatory Authority (FINRA), if these public securities are deemed to be complex, you may not be able to buy them unless you: Pass a regulator-imposed test of your specialized investment knowledge Demonstrate a high net worth Get special approval
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 7, 1986, 23 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,580. These 23 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
Comment Period Expires August 30, 1995
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On July 14, 1995, the NASD® Board of Governors approved the issuance of a Notice to Members to solicit comment on the refined proposal for a nationwide limit-order protection and price improvement
Conferences like this provide an ideal setting for regulators and market participants to engage in a productive dialogue concerning the exciting issues in this fast-changing market.
The Neutral Corner - Volume 1—2022
