A test is not necessary, the prospectus covers the risks.
Self-directed individual investors that understand the risks should have the opportunity to built diversified strategies, to not only speculate, but also generate income & hedge when appropriate.
There is no test you can make to determine if a person is wise enough to invest. Besides, the govt has no legitimate interest in stopping someone from making a bad investment, whether they can afford the loss or not.
I definitely oppose you putting restrictions on what I want to invest in. No regulator can insist I pass some test to prove I can buy BITO or any other investment I deem appropriate for me.
(a) Standards for Admission
After considering the application, the membership interview, other information and documents provided by the Applicant, other information and documents obtained by the Department, and the public interest and the protection of investors, the Department shall determine whether the Applicant meets each of the following standards:
(1) The application and all supporting
(a) Standards for Admission
After considering the application, the membership interview, other information and documents provided by the Applicant, other information and documents obtained by the Department, and the public interest and the protection of investors, the Department shall determine whether the Applicant meets each of the following standards:
(1) The application and all supporting
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
(a) Standards for Admission
After considering the application, the membership interview, other information and documents provided by the Applicant, other information and documents obtained by the Department, and the public interest and the protection
SummaryFINRA will conduct its Annual Meeting of firms on Wednesday, September 11, 2024, at 10:00 a.m. Eastern Time at FINRA’s Washington, DC, office located at 1700 K Street, NW, Washington, D.C. The purpose of the meeting is to elect one Small Firm Governor, one Mid-Size Firm Governor and one Large Firm Governor to the FINRA Board of Governors (FINRA Board or Board).1It is important
Free Market??????????????????? Why wouldn't you bet an inverse fund when you see a bubble. Why do I need to take a test to see a bubble through zero interest rates for 4 years?
Dues Must Be Paid By December 15, 1995
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Registration
Executive Summary
The 1995–96 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 includes fees for NASD personnel assessments,
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
