Inverse and leveraged funds can in an important part of an investors strategy. Investors should be able to choose their own investments without passing special tests.
I do not wont to lose my rights to trade stocks etc. I do not need to take a test. This is a free country why should I be restricted to trade ?
Any idiot can get married or conceive a child without a test so this regulation represents nothing more than bureaucratic over reach.
Taking a test for my investment choice repulses me. This law would set a bad precedent and add to government overreach. Let the buyer beware
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual Fund
Executive Summary
Beginning May 1, 1994, the NASD will assess increased charges for the review of certain advertisements and sales literature, including printed material, video and audio media, printed and audio material in excess of a certain amount, and material submitted for expedited review. The text
August 22, 2003All firms that report data to OATS directly or via a third party and all third parties that report data to OATS on behalf of a member firm must register with OATS and obtain an Administrator User ID and password. Once this initial Administrator User ID and password is established, the reporting party may then request additional user accounts with which to submit data and/or view
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to reasonably budgeted Consolidated Audit Trail (“CAT”) costs of the National Market System Plan Governing the Consolidated Audit
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6897(b) (CAT Cost Recovery Fees) to implement a Consolidated Audit Trail (“CAT”) cost recovery fee designed to permit FINRA to recoup its designated portion of the reasonably budgeted CAT costs of the National Market
I need to be able to choose public investments. Stop this unfair rule change. I do not need to go through any test before I can invest.
Conferences like this provide an ideal setting for regulators and market participants to engage in a productive dialogue concerning the exciting issues in this fast-changing market.
