I should not be regulated to choose investment or have to go through any specialist processes, testing, broker to leverage/inverse funds and risk.
FINRA assesses and collects regulatory fees that fund FINRA’s regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.
The Limited Review program can help to streamline the review process and provide faster clearance for non-shelf public offering filings.
I should be able to pick and invest in any type of fund I wish, without any testing or high net worth requirements.
It is unjust for the government to restrict the public's rights to invest while allowing the wealthy and only those who pass a test to invest.
We should be tested on our competency of markets to prevent uninformed decision making that can alter our entire lives.
NASD has filed with the SEC a proposed rule change to (1) amend NASD Rule 3010(g)(2) to revise the definition of the term "branch office"; and (2) adopt IM-3010-1 to provide guidance on factors to be considered by a member firm in conducting internal inspections of offices. The purpose of the proposed rule change is to facilitate the creation of a branch office registration system
I should have the freedom to choose the public investments without going through any special process like passing a test !!
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
The following questions and answers provide guidance regarding the operation of FINRA Rule 2080, which was formerly NASD Rule 2130.
