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.
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsRegistration
Executive Summary
The 1994-95 NASD broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the registration renewal process through the payment of one invoiced amount that will include fees for NASD personnel assessments, NASD branch-office fees, New York Stock
Let the public make their own decisions - not the regulators - and choose where to invest. one should not have to go thru any special process or test to buy investment products
SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
Fellowship Program Grants Military Spouses the Opportunity to Achieve the AFC Credential and Help Address Unique Financial Circumstances in Military Communities
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) and the Association for Financial Counseling and Planning Education® (AFCPE®) announced today the recipients of 2023 FINRA Foundation Military Spouse
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 6, 1987, the following 17 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,063.
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ARTW
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsSystemsTrading
Discussion
In Notice to Members 94-09, published in February 1994, the NASD announced Securities and Exchange Commission (SEC) approval of a new Section 46 of Article HI of the Rules of Fair Practice requiring members holding open orders to adjust the price and size of such orders by the amount of any
I do not want restrictions placed on securities like testing requirements. I use leveraged securities and understand and accept the risk. Please do not impose restrictions on my investments. Thank you.
