Taking a test for my investment choice repulses me. This law would set a bad precedent and add to government overreach. Let the buyer beware
I need to be able to choose public investments. Stop this unfair rule change. I do not need to go through any test before I can invest.
The FINRA Board of Governors will consider the following rulemaking items at its December 2011 meeting.
This User Support page provides links to help and training resources for users of CRD. Listed below are a variety of user support documentation created to provide CRD users with assistance that ranges from high-level overview to step-by-step detailed instructions.
Dear FINRA,
I am having a difficult time understanding why you may want to regulate complex investments. Ive been a stock and ETF investors for years. A core part of my investment strategy is the use of Leveraged and Inverse ETFs.
I prefer these instruments over options as options 1) have expiration dates, 2) are manipulated with changing spreads based on volatility and lastly 3) are more
It is incredibly important to have a financial system be transparent, secure, and fair. I believe that this proposal aids in the effort to produce a more transparent go coal system. Many new investors will be put off from investing in the stock market without these transparency rules. Many people, myself included, see the current system as unbalanced and rife with the exploitation of retail
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of February 24, 1992, the following 58 issues joined the Nasdaq National Market, bringing the total number of issues to 2,725:
Symbol
Company
Entry Date
SOES Execution Level
AUGI
American United Global, Inc.
1/28/92
1000
CALL
Fleet Call
FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy
Do not take away the right to freely invest in Public Securities! Taking a test or being told what a person can or can not invest in, that's not right?!
Regulators should not dictate what investment funds I choose to invest in. I should not have to take a test in order to invest. Please vote down this proposed regulation.
