Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the content outline and selection specifications for the Investment Banking Representative (Series 79) examination as part of the restructuring of the representative-level examination program. The proposed revisions also update the material to reflect
Comment Period Expires November 30, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicate
Executive Summary
The NASD is requesting comment on an amendment to its Corporate Financing Rule (the Rule) relating to rights of first refusal granted to underwriters and related persons in connection with the distribution of public offerings. The amendment
Comments: I have traded leveraged and inverse products for 28 years using defined rules and active management. They allow me to enhance my trading gains.
The FINRA Proposed Rule #22-08 suggests limiting investors rights. Big Government needs to stop interfering with investors' rights. Stop over-regulating every thing.
Comments: Inverse and leveraged ETFs are far safer than trading options. Please recommend to FINRA to leave the rules are they currently are (May 2022). Thank you.
This proposed rule is absurd. Let Americans make their own investment decisions without special credentials. We know the risks when we make investments!
Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish “Pay-To-Play” and Related Rules
Proposed Rule Filing Relating to Simplified Arbitration
I oppose restrictions to my right to invest as this proposed rule would install. We need less regulation when it comes to investment opportunities for individual traders.
