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Executive Summary
The NASD® is publishing this Notice to clarify its position on the use of logos and names of banks and other financial institutions under the current NASD rules and regulations and the federal securities laws generally.
Discussion
In the November 1994 account
There may come a time when you want to transfer your securities accounts between broker-dealers. If so, here’s what you need to know.Most customer accounts are transferred between broker-dealers through an automated process. The National Securities Clearing Corporation (NSCC) operates the Automated Customer Account Transfer Service (ACATS) to facilitate the transfer of a customer account from one
We should be able to choose the public investments that are right for us and our family. And public should be treated equal, public investment should be available to all of the public not just the privileged.
We should not go through any special process like passing a test before we can invest in public securities, like leveraged and inverse funds. I am using leveraged fund to gain exposure to
Prospective FINRA member firms must seek approval for new FINRA membership through the submission of a New Membership Application (NMA or Form NMA) in accordance with FINRA Rule 1013 (New Member Application and Interview). Existing FINRA member firms that are contemplating a material change in ownership, control, or business operations must submit a Continuing Membership Application (CMA or Form CMA) in accordance with FINRA Rule 1017 (Application for Approval of Change in Ownership, Control, or Business Operations). Both types of applications are reviewed by FINRA’s Membership Application Program (MAP) Group.
As a long time investor to have this change impact how and what I can invest in is outrageous. These are public investments that I should have the freedom to invest in and not be asked to justify with income or asset levels.
As usual change the rules when the stock market quits going up. Inverse funds help people protect assets during market corrections. Leave things alone please.
I believe I have a right to choose the assets I invest in. I am capable of understanding the risks associated with leveraged funds. Leveraged funds are a limited part of my portfolio and enhance my returns.
There's no sound reason to disallow investors from putting their money towards crypto and futures. Treat it the way every other asset us treated and let the free market decide.
