(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This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series.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
(a) The term "Clearing Broker-Dealer" or "Clearing Broker" shall mean the member firm that has been identified in the System as principal for clearing and settling a trade, whether for its own account or for a correspondent firm.
(b) The term "Correspondent Executing Broker-Dealer" or "Correspondent Executing Broker" shall mean the member firm that has
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education Testing/Qualifications
Legal & Compliance
Senior Management
Continuing Education
Firm Element
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
I oppose restrictions to my right to invest include leveraged and inverse funds. These are important investment vehicles to hedge our portfolios and participate in the market. We don't need to give a test to be able to use these public investments.
I shouldn't have to take any sort of test or pass any extraneous process to be able to choose how I invest the money I work hard for. If I have the right to make decisions on how my money is spent and invested.
I & Imalone should be able to pick & make my investments. I do not need to take a test or go thru a special process to invest. Investing is my right & choice not yours! Leave my money & investments alone!
I should be the one to decide what I want to invest in. There shouldnt be tests or exams to determine this first. Crypto currency is an important part of my investing strategy. Dont hurt the small time, working class Americans with these restrictions.
I don't like regulators interfering with my investment decisions. is your test so you can steal my profitable market timing strategy? I use leveraged long and short funds. Leave them alone.
