I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST. I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test. I am capable of understanding the investments considered and their risks.
I should be able to choose my own investments without an added burden of the new rules you are considering. My broker already has my investment background and experience, so no federal survey is needed. A test is an especially onerous requirement. It is already clear when purchasing a leveraged or inverse fund what the risks are.
The proposed regulations would unnecessarily infringe on my freedoms to contract privately on financial matters based on my own discretion. Leveraged and inverse funds are an important component of my trading strategies, and I should not have to disclose or satisfy any particular financial means or investment knowledge tests to enter into financial transactions in these products.
The blatant manipulation against AMC and GME makes me lose complete faith in the US stock market. I am working on moving my money out of the US stock system. It's clear that our government is bought and paid for. This system with tutes lying about short positions, dark pools, secondary books by brokers, unchecked FTD's and high-frequency trading makes an unfair playing field to where
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 4, 1986, 25 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,630. These 25 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
The more transparency the the better. The current system need improvement
Not agree with the proposed action .it's unnecessary. Nothing is wrong with the current system.
As a not-for-profit, self-regulatory organization (SRO) with an 85-year history, FINRA pursues its mission of promoting investor protection and ensuring market integrity in many ways
GUIDANCE
Qualification Examinations
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Limited Principal—Direct Participation
Programs (Series 39)
Limited Principal—Financial and
Operations (Series 27)
Limited Principal—Introducing
Broker-Dealer Financial and
Operations (Series 28)
For Your Information
National Association of Securities Dealers, Inc.
October 1989
Three NASD District Offices to Hold Major Conferences This Month
Three NASD offices — Districts 5, 8, and 13 - will sponsor major conferences this month.
District 5
The District 5 annual membership meeting and conference, co-sponsored with Tulane Law School, will be Friday, October 6, at the Windsor Court
