RE: Comment on FINRA Regulatory Notice 25-05: Outside Activities RequirementsTo Whom It May Concern:We appreciate the opportunity to comment on FINRA Regulatory Notice 25-05, which proposes a new rule to streamline and reduce unnecessary burdens regarding existing requirements addressing the outside activities of member firms' associated persons. As a FINRA member firm with registered
SUGGESTED ROUTING
Senior Management
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Institutional
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Municipal
Operations
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Trading
As of September 23, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
AMZN.GA
Amazon Com Inc.
10.000
05/01/08
ATCV.GA
ATC Group Services Inc.
12.000
01/15/
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Executive Summary
The National
Having testing standards for investments such as these is overreach to individual's rights to do as they see with their money. FINRA should consider doing EVERYTHING possible to make it easier for everyone TO invest, and not work to limit options or create testing strategies for participation. Ultimately - that provides less equality - and not more.
FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy
<p>Applicability of Rule 3040 to investment advisory activities of an individual who is dually registered as a registered representative and a registered investment advisor.</p>
Whats next Fried chicken and alcohol can also be bad for you. Are you going to create a rule for people to pass a health test and a written test to be able to eat fried chicken and drink alcohol??
Its called freedom of choice. Protect it. Dont take it away.
This is supposed to be a free country, That should also be true for investing. We do not need testing imposed on us to invest in public funds. Please do not take away our ability to make money when stocks fall! Did you have to take a test to be a legislator?
GUIDANCE
Branch Office Registration
Effective Date: October 31, 2005
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Central Registration Depository
(CRD® or Web CRD)
Form ADV
Form BR (Uniform
I have the right to choose the public investment and believe leveraged ETF is important options to my strategies.
Leveraged index ETFs are no risky than individual stocks.
Setting up a test do not guarantee investment competence. Becoming an financial advisor requires taking tests but the performance is not spectacular.
