Hey, don't take the rights away from retail investors that will remain with accredited investors. We deserve to be able to invest in leveraged ETFs and crypto funds without restrictions like a test, Do not impose this restriction on the retail investment community.
I as an investor who chose to do my own research on a variety of public securities after seeking the advice of a financial advisor and broker am confident in my own abilities and do not require coddling and layers of testing and restrictions on my portfolio.
I'm capable of making my own investment decisions without passing some sort of test to do so.
I use these leveraged funds as an important part of my portfolio. Everyone should be able to use them, not just wealthy people.
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. Eveyone should be able to choose the public investments that are right for him and his family.
I write options. Leveraged funds give a higher premium. I am in the market for over 40 years. I know what I am doing. I should have freedom to do what i want and after all this experience should not have to take a test
I am against any regulations set by the government that keeps me from making investments. I should be allowed to choose public investments that is right for me and my family.
Having to take and pass tests to purchase cryptocurrencies or any other securities.
As a retail investor, I think it is so important to get accurate data. With the amount of fines and rules that have been broken by brokers, we cannot allow for a self-reporting system to continue. We need massive overhauls in our system and it starts with having accurate information, especially when it comes to short interest.
TO: All NASD Members and Other Interested Persons
The NASD Board of Governors is concerned that some NASD members may not have sufficient time to comment on NASD proposals published in Notices to Members because the appropriate person in the firm does not receive the notices on a timely basis. The NASD normally provides a thirty-day period in which members and other interested persons can submit
October 29, 2024FINRA released a Cyber Advisory alerting firms of increased cybersecurity risks at third-party service providers. This webinar reviews the details of the Cyber Advisory including an overview of the regulatory and threat landscapes and effective practices.Speakers:Brita Bayatmakou, Vice President, Strategic and Threat IntelligenceRob Francis, Senior Director, Cyber and Analytics
View frequently asked questions and guidance to aid members in their reporting obligations under FINRA Rule 4521(d). Note: This guidance only applies to members that need to report data pursuant to Rule 4521(d).
