I am opposed to FINRA establishing boundaries / restrictions on my ability to trade leveraged and indexed funds without meeting certain "educational", experiential, net worth, etc. criteria. I will definitely encourage and join any class action suit if FINRA takes any such steps and have several General Counsels and Pillsbury Shaw Pittman to work with.
I would like to strongly express my displeasure with the SEC proposal to restrict my freedom to invest in any instrument of my choosing. I have been trading financial instruments for twenty years and do not need your opinion as to where I should or should not invest. I find this highly invasive of my privacy and freedom. Leave me alone.
It is the investors duty to make sure they perform they fulfill their due diligence on the stocks they are going to invest. Most of the trading platforms warn the investor about the nature and volatility risks of these stocks already. There is no need for extreme oversight as such. They should put these regulations in action for the gambling industry if they want to protect the consumers/retail
let us invest and trade, some of us are following newsletters for years. we don't want to now be limited. these investments let us put on a hedge and stay long. don't make us take some test, it is too limiting. free country to learn and invest and we want different ways to balance everything out
<p>Cash rebates issued to pension plan customers with respect to secondary market transactions in outstanding securities (under former Article III, Section 24, now Rule 2740 and IM-2740).</p>
This Rule 6400 Series sets forth quotation and trading requirements for "OTC Equity Securities" as that term is defined in Rule 6420.
Members shall use the OTC Reporting Facility for trade reporting in OTC Equity Securities and Restricted Equity Securities in compliance with the Rule 6600 and 7300 Series, as well as all other applicable rules and regulations.
Amended by
(a) A Trade Reporting Facility Participant shall clear and settle transactions in designated securities through the facilities of a registered clearing agency that uses a continuous net settlement system. This requirement may be satisfied by direct participation, use of direct clearing services, or by entry into a correspondent clearing arrangement with another member that clears trades through
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Legal & ComplianceOperationsSystemsTrading
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veteran's Day, Thursday, November 11, 1993, and Thanksgiving Day, Thursday, November 25, 1993. On Thursday, November 11, The Nasdaq Stock MarketSM and the securities exchanges will be open for trading.
FINRA Announces the Effective Date of Modifications to the TRACE System; Effective Date: August 4, 2008
A free market system is exactly what we need. When I say free market I mean the ability of the retail investor to make their own decisions based on their own personal risk/reward assessment. Retail investors are legal adults who are rational and responsible for their own actions. Retail investors are quite capable of using their own judgement to manage their money. Every responsible adult is
