You want to prevent me from trading products that are too "complex" for me unless I pass a regulator-imposed test? This seems a lot like when blacks were prevented from voting unless they passed a regulator-imposed "literacy test". My response is simple: this is despicable. You should be ashamed of yourselves. Really.
"Complex" products are
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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, not you regulators, should be able to make my own decision as to what investment vehicles are right for me to own. I do not need or want to go through any special process, like reading material and/or passing tests before I can invest in special public securities, like leverage and inverse funds. Besides, the timing of these leveraged funds can be critical. Then is NOT the time to have to stop
SEC Approves Consolidated Telemarketing Rule
FINRA observed that the Trade Data Dissemination Service (TDDS) delivered an incorrect print, today, Tuesday, February 4, 2025, at 11:27 a.m. ET in security Odonate, Inc (ODTCD). The trade for the security was reported as 1 share at $150,000, but TDDS disseminated it at a price of $50,000. All other FINRA mediums correctly distributed the price at $150,000.
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Variable Contracts
The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1997. Duplicate copies are available for $
Financial social media influencers or finfluencers are growing in popularity as a cheap way to reach a new generation of investors. But using this newer form of advertising comes with risks. On this episode, we learn more about the regulatory requirements around the use of social media influencers and hear some best practices for firms looking to make use of “finfluencer” programs.
I have been safely and profitably investing in a leveraged, inverse fund for years in taxed and tax-deferred accounts.and have been investing in stocks, bonds and derivatives for decades. Leveraged, inverse funds are only a small part of my investment portfolio and are an even smaller part of my net worth. I understand the risks and mitigate them by buying shares only when the risk is relatively
It is not right to limit choices of what I can invest in. Just because I am not a "professional" investor does not mean I don't understand risk. This seems like a misguided attempt to protect people from themselves that will actually result in less ability for people who are not billionaires to make money.
I am also skeptical of any tests you might give, many people
I oppose any restrictions by FINRA or any other regulatory bodies on my right to invest in publicly available investments such as leveraged and inverse funds. You couch your actions as protecting individual investors. We do not need your paternalistic [REDACTED]. Take it elsewhere. There should not be any special process, including passing a test or net worth test, or any of that crap to invest
