SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Operations
Research
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
As of September 16, 1988, the following 15 issues joined the NASDAQ National
I use leveraged and inverse funds regularly in my investment strategy. They are an integral part of my portfolio. I am fully capable of understanding all the risks associated with these funds and have knowingly chosen to include them in my portfolio after analyzing those risks. The brokerage firms already require signed documents in order to trade these instruments and they also give warnings
SummaryThis Notice reminds firms of the changes to FINRA’s Continuing Education (CE) Firm Element requirement, specifically:extending the requirement to all registered persons;recognizing other required training toward satisfying an individual’s annual Firm Element obligation; andrevising the minimum Firm Element training criteria.FINRA and the Securities Industry/Regulatory Council on Continuing
It is imperative that investors have the autonomy to invest in the things we do choose. It should no be limited to a few privileged people, or the rich, or high net worth people. We live in a society that all are created equally and we should maintain this with investment strategies, opportunities and tools available to invest in.
I dont feel that we need to take a test to test our knowledge on a
I understand the Federal Government Regulatory bodies have the best interests in mind for this country's citizens as well as those investors beyond our borders as various regulations are imposed. However, in a free society it seems to me that we have the right to choose those public investments that we feel are right for ourselves as well as our families. It is frightening to
Public investments should be available to everybody. I should not have to take a test or hire a broker or get a note from my mommie.
I am not a regulator and want to be able to invest as needed without tests and other restrictions. Inverse funds are a needed tool to balance risks
I do NOT need a test to invest! It's my right to do as I wish. My decision should not be guided by no one except myself.
Dont agree any tests of this kind for experienced trader of similar nature. Suggest to set limits as a percentage of total investable asset.
Going through any special process like passing a test will be a great burden to me since I am 72 years old.
