SUGGESTED ROUTING
Corporate Finance
Government Securities
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Systems
Trading
Training
The NASD published the following Notices to Members during 1996. Duplicate copies are available at $25 per monthly or special issue. A 2-volume bound-set,
I have invested effort and money into learning investing, a key component of which includes hedging strategies using inverse ETFs. These trading instruments should remain to ALL traders in the public domain. It seems unfair to have a special process and test out given this is not the case with 401Ks, or even the ability to vote from an understanding of the issues that we are supporting or voting
If this regulation is necessary why wouldn't every investment require a similar set of regulations? Why not a test for every investment - including the US Dollar? I would much prefer that you mandated a test for the right to vote. BTW - I also know that if I spill burning hot coffee on myself it will hurt. Do we need to add a detachable form to hot-cups acknowledging the purchaser's
I want the ability to make my own decisions on what investments to make and when to make them. Timing can be everything. A "cooling off period" could miss the opportunity. You don't have to take a test to invest in the market, go to Vegas, or buy expensive cars and toys, so why single this out? Some people aren't good at tests but are capable of incredible knowledge and
I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds and their risks. I do not need these measures imposed on you. FINRAs definition of complex products is so broad, arbitrary and vague that it could ensnare a vast number of commonly used
The Neutral Corner – Volume 2—2025Mission StatementFINRA Dispute Resolution Services (DRS) and FINRA NewsArbitration Case Filings and TrendsProposed Rule Change to Amend the Codes of Arbitration Procedure to Make Clarifying, Technical and Procedural Changes to the Arbitrator List Selection ProcessProposed Rule Change to Amend the Codes of Arbitration Procedure to Accelerate the Processing of
SUGGESTED ROUTING
Corporate Finance
Government Securities
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1997. Duplicate copies are available for $
Look, most folks already have an investment advisor. I expect HER to know whatever regulations you folks are planning to add to the process of buying investment products. Furthermore, your idea for additional regulation sounds to me just like a LITERACY TEST FOR VOTERS. So here's the deal... I'll buy your "additional investing regulations" just as soon as we
Effective Date: May 1, 1995
SUGGESTED ROUTING
Legal & Compliance
Operations
Registration
Training
In early 1993, six self-regulatory organizations (the American Stock Exchange, the Chicago Board Options Exchange, the Municipal Securities Rulemaking Board, the National Association of Securities Dealers, Inc., the New York Stock Exchange, and the Philadelphia Stock
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
