I shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds and their risks. I do not need these measures imposed on you.
I should be able to choose the public investments that are right for my family and I. I shouldn't have to go through any special testing to invest in public securities, including leveraged/inverse funds. I'm more than capable of understanding leveraged and inverse funds and their risks.
Last Voting Date: January 12, 1996
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The NASD® invites members to vote to approve amendments to Articles VII and X and to delete Article V of the NASD By-Laws. The last voting date is January 12, 1996. The text of the proposed amendments follows this Notice.
Background
The proposed amendments to
Registered individuals are required to complete Continuing Education (CE) annually by Dec. 31. Annual Regulatory Element CE training may be accessed by visiting FinPro. Individuals who self-enrolled can complete their training by logging in to TESS®.Support for FinPro, TESS and CE is available during core business hours, Monday through Friday from 8 a.m. to 8 p.m. ET.
I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds and their risks. I do not need these measures imposed on Me.
I am able to read prospectuses and make my own decision on investing. I have been investing and understand the risks in it. I should not be limited in what I can invest in. I should not have to take a test or a course to determine if I should or should not invest in an investment. Thank you.
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.
I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds and their risks. I do not need these measures imposed on me.
I as a investor should be able to choose whichever stocks or funds I see fit. I research my investments and understand the risks. I do not believe passing a test before I invest is unfair and don not need anyone to hold my hand when coming to my portfolio.
I shouldn't have to go through any special process
like passing a test before I can invest in public securities, like leveraged and inverse funds. I am
capable of understanding leveraged and inverse funds
and their risks. I do not
need these measures imposed on me.
