Hello Please do not restrict trading in these etfs. All rules and regulations are quite clear in terms of risks. Amar
Dear FINRA, Its my money and hence the decision has to be mine. I completely object to your proposed rule.
The Best Execution, Outside Business Activities and Private Securities Transactions, Private Placements, and Reg BI and Form CRS sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Carving out elitist rules is not the right move for this country. It does nothing but drive a bigger wedge between citizens.
Down with the ruling class! We want free-market socialism! The people who work in the businesses should own the businesses!
Stay out of the market place. You people will damage the market place with your rules. You are not our parents
INFORMATIONAL
OATS Limit Order Display Indicator
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Training
Limit Order Display
Order Audit Trail System (OATS)
Executive Summary
The purpose of this Notice is to reiterate to members one of the requirements of the National Association of Securities Dealers, Inc. (NASD®) Rules 6950
Please stop these lowest common denominator type rules. They ruin the ecosystem and don't provide the intended relief and benefit.
Qaulifieid investor rules are the most discriminatory thing in existence. The pompous notion of this being "for your own good" is infuriating.
The Series 27 exam — the Financial and Operations Principal Qualification Exam (FN) — assesses the competency of an entry-level principal to perform their job as a financial and operations principal.
