I should be able to choose the public investments that are right for myself and my family. I do not believe that I need to take a test or go through any other measure that you have in your mind.I am very capable of making my own choices.
The investor, not regulators should be able to choose which public investments that are right for myself and family. There shouldn't need to be some special test before being able to make certain investments. Cryptocurrency is the future and any regulations against it as an investment is wrong and un-American.
I am an investors that uses leveraged and inverse funds to meet my investment objectives and am fully aware of the unique risks and benefits that they pose. Please do not limit my access to the investments, or require that I take any special tests to gain access.
Regulators should not be able to choose the public
investments that are right for me.
I shouldn't have to go through any special process
like passing a test before I can invest in public securities.
Leveraged and inverse funds are important to my
investment strategies.
NASDR has filed with the SEC a proposed rule change to clarify the requirements for members to provide electronic access to Nasdaq's SelectNet and SOES order entry systems to public customers and non-members through the member firm's own system.
I should be able to choose the public investments that are right for my family and I. I shouldn't have to go through any special testing to invest in public securities, including leveraged/inverse funds. I'm more than capable of understanding leveraged and inverse funds and their risks.
This article highlights some of the common cybersecurity threats faced by broker-dealers. In a number of cases, FINRA has observed that different types of attacks were coordinated and overlapped.
Phishing – Social engineering or “phishing” attacks remain one of the most common cybersecurity threats firms have discussed with FINRA. Many firms experienced situations where employees provided
Honestly it's fine the way it is. It's not that complex for most investors. No one should be buying things they don't understand. That goes for appliances too and we don't have to take a for those. Casinos have complex rules for some and again - no tests required.
GUIDANCE
Trade Reporting and Compliance Engine (TRACE)
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Registered Representatives
Senior Management
Trading and Markets
Debt Securities
Operations
Rule 7000 Series
TRACE Rules
Executive Summary
On March 6, 2007, the Securities and Exchange Commission approved an amendment to Rule 7030 relating to the availability of TRACE
Proposed Rule Change Relating to Test Results Information on the Content Outlines of FINRA Qualification Examinations
