GUIDANCE
Foreign Hearing Locations
Effective Date: June 6, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Arbitration
Dispute Resolution
Foreign Hearing Locations
Executive Summary
The Securities and Exchange Commission (SEC) has approved
amendments to IM-10104 and Rule 10315 of the NASD Code of
Arbitration Procedure (Code) to permit parties to have
In observation of the Thanksgiving holiday, the TRACE system will be closed on Thursday, November 28, 2024. Please be advised that the TRACE system will close early on Friday, November 29, 2024. See the table below for a schedule of modified hours (these hours also apply to BTDS/ATDS/SPDS/144A). Thank you for your attention to this matter. Please contact FINRA
I oppose restrictions to my right to invest include leveraged and inverse funds. These are important investment vehicles to hedge our portfolios and participate in the market. We don't need to give a test to be able to use these public investments.
I shouldn't have to take any sort of test or pass any extraneous process to be able to choose how I invest the money I work hard for. If I have the right to make decisions on how my money is spent and invested.
I & Imalone should be able to pick & make my investments. I do not need to take a test or go thru a special process to invest. Investing is my right & choice not yours! Leave my money & investments alone!
I should be the one to decide what I want to invest in. There shouldnt be tests or exams to determine this first. Crypto currency is an important part of my investing strategy. Dont hurt the small time, working class Americans with these restrictions.
I don't like regulators interfering with my investment decisions. is your test so you can steal my profitable market timing strategy? I use leveraged long and short funds. Leave them alone.
Leveraged and inverse funds are in my portfolio and I want to continue to invest in this vehicle.
It is no different than stock trading.
Government interference is unnecessary.
No special tests are necessary.
Please dont change it. Would be unfair.
Thank you.
I have traded leveraged etf for 20 years. I read the prospective and used the leveraged etf to reduce some risks. I want to this tool to be available to me, not just the privileged. I dont want regulars to impose a test on me.
