A “family office,” as defined in the Advisers Act, may be considered an “investment adviser” for purposes of meeting the limited exception of FINRA Rule 5131.02.
Leveraged index are important for private investors like me. I have a high risk tolerance but don't have the time to manage puts and call on a daily basis. This is why leveraged funds like TQQQ and SQQQ are products that I use frequently. I understand why regulations try to limit what inexperienced private investors can have access to. Investor who leverage themselves above their risk
Here in USA we believe in freedom, and that it bears responsibility for your choices, including the potential loss of invested principal. While i'm not really concerned about a knowledge test (which i find tho useless, easy to cheat on and just another taxpayer and investor added cost), brokerage approval or certifying reading the materials, as we do believe education is important before
SR-FINRA-2009-006 - Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals
Return to the US Constitution and make money private again instead of the central bank controlled fiat fraud.
The (American) Govt has no business holding my hand/influencing or regulating the private financial decisions of any individual.....Period.
Executive SummaryThe purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.As detailed below, the following seats are contested:Midwest Region Committee, District 4 representativeMidwest Region Committee, District 8 representativeNew York Region Committee, District 10
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Senior ManagementCorporate FinanceLegal & ComplianceOperationsSyndicateTradingTraining
Executive Summary
On May 28, 1993, the Securities and Exchange Commission (SEC) approved amendments to Part VI, Section 8 of Schedule D to the NASD® By-Laws that will assist members in meeting their obligations under SEC rules 10b-6 and 10b-6A. The amendments require that
I understand the financial risks I am taking and it's not a private organizations place to limit my ability to make investments.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MARCH 1, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article HI, Section 27 of the NASD Rules of Fair Practice that would (1) prescribe specific supervisory practices and procedures for all member firms and (2) revise the definitions of "office of supervisory jurisdiction" (OSJ)
