As prepared for delivery
Good afternoon. Thank you, Wayne [Abernathy], for that kind introduction and for the invitation to speak with you today. It is a pleasure to address this group, which plays such a unique role in facilitating the open discussion of important issues facing our economy and financial system.
Most of you, I assume, invest in the stock market. Many of you invest through
I should have access to leveraged and inversed fund. I know what they are. I should not take test to invest in these funds.
I should be able to decide what I want to invest in and I don't need to be tested to decide what I want to invest in
I do not feel the need to be tested on my option and ability to purchase investments- especially those publicly traded.
I oppose more regulations and restrictions, I should be able to choose my investments without some approval test
The NASD® published the following Notices to Members during 95. Duplicate copies are available at $25 per monthly or special issue. A 2-volume bound-set, indexed reprint of the entire year's Notices, is also available at $150. Requests, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., or credit card information,
We do not need any additional training regulations to the ETF's
There is noting wrong with current trading system and additions regulations my lead to system obuse.
In light of the recent outbreak of coronavirus disease (COVID-19), FINRA continues to review its pandemic and business continuity plans to ensure continuous operation of FINRA’s facilities for the reporting of OTC transactions in equity and fixed income securities (i.e., the Alternative Display Facility (ADF), the OTC Reporting Facility (ORF), the Trade Reporting and Compliance Engine (TRACE) and
I would like to continue to invest in leveraged funds. A test is excessive, but a simple video that must be viewed would be okay
SummaryThe purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and rule
