I know the risks and rewards in leveraged investment strategies.
I do not need to take any test to invest in these.
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
INFORMATIONAL
Compensation and Mixed Capacity Trading
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Training
Disciplinary Information
Executive Summary
The Nasdaq Stock Market, Inc. (Nasdaq®) and NASD Regulation, Inc. (NASD Regulation) believe that market rules should enhance investor
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of June 12, 1991, the following 38 issues joined Nasdaq/NMS, bringing the total number of issues to 2,560:
Symbol
Company
Entry Date
SOES Execution Level
OWWH
OW Office Warehouse, Inc.
5/15/91
500
DNKG
Danek Group, Inc.
5/17/91
1000
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
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.
Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
I oppose more regulations and restrictions, I should be able to choose my investments without some approval test
