I oppose any restrictions that may unnecessarily eliminate or appropriate restrictions on investments being considered under SEC Proposed Rule #S7-24-15 to the extent that it provides a platform for intuitions to manipulate or gain advantage over retail investors. Free market capitalism should not be compromised by individuals fears or inability to educate oneself in an era of communication and
I oppose the proposed SEC rule change. We the investor should be able to make decision regarding what we want to invest in without any limits. Leveraged funds can be complex, but we the investors should decide if they are the right fit for our portfolio. Furthermore, Public investments should be available to all of the public,not just the privileged.
While I understand the dangers of inverse etfs, and given the economic uncertainties in these difficult times with inflation, the horrifying war and a divided nation, I strongly urge that the sec does not interfere with free market and our free choice to invest. Please dont change the rules or impede. Its our due process in a free market economy. With respect, Cindy Gu
I strongly suppose SEC proposed Rule #S7-24-15 I believe just like everyone has a choice to smoke, drink, choose their career the people should also have the choice to invest their money where ever they deem best. You shouldnt have to prove a high net worth to be able to have access to riskier funds.
ADF Operations receives and posts Denial of Access Notifications, pursuant to Rule 4300A(a)(6) to ensure that securities firms have adequate time to make other routing or access arrangements, if necessary.
The Series 65 exam — the NASAA Investment Advisers Law Examination — is a North American Securities Administrators Association (NASAA) exam administered by FINRA.The exam consists of 130 scored questions and 10 unscored questions. Candidates have 180 minutes to complete the exam. In order for a candidate to pass the Series 65 exam, they must correctly answer at least 92 of the 130 scored
NASDR has filed with the SEC a proposed rule change to amend Rule 2860(b) of the National Association of Securities Dealers, Inc. to: (1) increase the position limits on conventional equity options to three times the basic position limits for standardized equity options on the same security; (2) disaggregate conventional equity options from standardized equity options and FLEX Equity Options for
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from April 30, 2021, to August 31, 2021.
The NASD published the following Notices to Members during 1994. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is also available at $150. Request, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., or credit card information, should be
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EXECUTIVE SUMMARY
In conjunction with its approval of various amendments to the NASD Code of Arbitration Procedure, the Securities and Exchange Commission recently approved an amendment to Article III, Section 21, of the NASD Rules
