I should be able to pick and invest in any type of fund I wish, without any testing or high net worth requirements.
It is unjust for the government to restrict the public's rights to invest while allowing the wealthy and only those who pass a test to invest.
We should be tested on our competency of markets to prevent uninformed decision making that can alter our entire lives.
I should have the freedom to choose the public investments without going through any special process like passing a test !!
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.
For Your Information
Decimalization And Qualification Exams
On April 9, 2001, equity securities trading on Nasdaq® will be fully converted to decimals. On that date, test questions on all qualification examinations administered by the NASD® will also be changed to decimals. The purpose of these changes is to conform with the new industry norm. This will not result in substantive changes to the
For years, the London Interbank Offered Rate (Libor) set the benchmark for global interest rates and impacted trillions of dollars in financial activity, leading many to call it as “the world’s most important number.” However, following controversies and reform efforts after the 2008 financial crisis, regulators in the United States and United Kingdom began exploring a replacement benchmark rate
Twenty years after its last major update, FINRA’s Central Registration and Depository (CRD) system, the backbone of BrokerCheck, is getting a facelift. On this episode of FINRA Unscripted, we hear what users can expect from the multi-year CRD transformation process.
(a) Notices Under Rule 4111
(1) Notice of Requirements or Restrictions
FINRA's Department of Member Regulation ("Department") shall issue a notice of its determination under Rule 4111 that a firm is a Restricted Firm and the requirements, conditions or restrictions to which the Restricted Firm is subject (hereinafter, collectively referred to as the "Rule
We do not need any additional training regulations to the ETF's
There is noting wrong with current trading system and additions regulations my lead to system obuse.
