What should your firm do after it discovers that customers’ accounts have been compromised?
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of November 28, 1994, the following 37 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,739:
Symbol
Company
Entry Date
SOES Execution Level
CVTI
Covenant Transport, Inc. (Cl A)
10/28/94
500
LION
Fidelity Southern Corp.
10/31/94
200
BUMM
B.U.M. International, Inc.
I know what leveraged etfs do and I use them as part of a diversified investment portfolio. I do not wish to go through any additional tests to invest in them.
Public investments should be available to everyone, not just the privileged. No one should have to pass a test before they can invest in public securities, including cryptocurrency funds.
The FINRA Board of Governors will consider the following rulemaking items at its December 2011 meeting.
I shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds.
We should not have to go through a special process to pass a test to invest in public securities. ALL public securities should be available for EVERYONE, not just the privileged.
I shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds.
This regulation is akin to literacy tests imposed to keep former slaves from exercising their god given rights. By imposing these regulations you are no better than the bigots of the past.
