I should be able to choose the investments that are right for me and shouldn't have to go through any special process like passing a test before being able to invest in leveraged funds. The choice and risk is mine!
I should be able to choose any investment that are offered to the public without taking any test or special process. I am an educated person and handle my own finances and with that I do my own risk management.
I fully understand the risks involved in leveraged securities. They are an important part of my long term strategy. I don't think I should have to pass a test to continue investing in these securities, i have made money doing it.
Beginning Monday, October 30, 2023, FINRA will limit the number of unsuccessful TRAQS login attempts from 10 to five before the user is locked out of their account. This affects both the Nasdaq Test Facility (NTF) and production FINRA TRAQS websites.
(a) When Held
The hearing shall be held not later than 15 days after service of the notice and filing initiating the proceeding, unless otherwise extended by the Chief Hearing Officer or Deputy Chief Hearing Officer for good cause shown. If a Hearing Officer or Hearing Panelist is recused or disqualified, the hearing shall be held not later than five days after a replacement Hearing Officer or
I understand the risks involved in investing leveraged and inverse funds and shouldnt have to go through special test to be eligible. These funds help me with my investment strategies. I oppose this restriction and would appreciate that this be not enacted.
Individuals should have a right to choose the public investments for themselves. To be able to have this right we shouldn't go through anything like a test, approval or cooling time. This right shouldn't be limited to the privileged.
I strongly believe I should be able to choose the public investments that are right for me.
Public investments should be available to all of the public, not just the privileged. Additionally, I should not have to take a test to enjoy the opportunity to invest.
I'm not in favor of restrictions that punish intelligence and due diligence in order to protect ignorance. Making the system more fair with adequate enforcement against the bad actors that use detrimental activities to exploit and diminish shareholders equity would appear a much more effective approach to improving the systems performance. Naked short selling as an example.
(a) If a party is added to an arbitration after the Director sends the lists generated by the list selection algorithm to the parties, but before the ranked lists are due to the Director, the Director will send the lists to the newly added party, with employment history for the past 10 years and other background information for each arbitrator listed. The newly added party may rank and strike
