FINRA Gateway - Exam Requests
The purpose of this Election Notice is to notify FINRA large and small member firms of contested elections for a large firm seat and a small firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots.
The guidance provided in this FAQ pertains to the reporting of over-the-counter (OTC) transactions in equity securities to a FINRA Facility (a Trade Reporting Facility (TRF), the Alternative Display Facility (ADF) or the OTC Reporting Facility (ORF)).
I strongly disagree with this regulation. It is rediculous that an investor has to pass a test before he/she can invests. Freedom of investment is part of our freedom / human rights and please respect it.
Hello Regulators,
Please do not restrict my right to invest in public options as I choose. There should not be any special processes or tests required.
Thank you for your consideration...,
I should be able to choose public investment that intereste not you the regulators. I shouldn't have to go through special process like a test before I can invest in public investment.
Please do not limit my access to these funds. I perfectly well know what I am doing and do not need the additional administrative burden of complying with whatever "tests" are created.
Me-not regulators-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 few. Tests are controlling.
Please don't limit my ability to invest in inverse funds without passing tests and reading large amounts of data. I am capable of understanding inverse funds and their risk.
I have been using inverse etfs for years including vxx and sh, etc and I understand them I feel i should be able to continue using them without taking a test.
