Me not regulators should what kInd of investment I make.I have been doing it for a long time and have experience what to do Leveraged and inverse funds are the major investments for me and this is the right stratagy for me If you look at my account I have increased my account by more than 50K in last two months which proves that my system works
You may think you're protecting people, but what this regulation will actually do, is keep the poor, poor, and keep the rich, rich. One way us people of lower classes can get ahead, is to learn advanced trading techniques. By making limits to 'high net worth individuals" you are perpetuating a cast system in this country. Stop treating us like children.
Sample Affidavit - Disciplinary
Sample Affidavit - Expedited
Sample Answer
Sample Case Caption - Disciplinary
Sample Case Caption - Expedited
Sample Case Management and Scheduling Order - Disciplinary
Sample Case Management and Scheduling Order - Expedited
Sample Certificate of Service
Sample Declaration - Disciplinary
Sample Declaration - Expedited
Sample Exhibit
Sample Financial
The FINRA New Issue Form will be unavailable from 7 AM ET Saturday, March 27, 2021 until 7 PM ET Sunday, March 28, 2021, while the system undergoes scheduled maintenance.
Please contact FINRA Market Operations at 866-776-0800, Option 2 if you have questions regarding this notice.
GUIDANCE
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to the NASD Uniform Practice
FINRA Survey to Update the Series 7 Exam
I am a new retail investor. I have learned so much in the last year, however, I have also learned that the market is terribly manipulated by systemic bad actors. and that a great imbalance exist that is unfair and wrong. Please consider the little guy and how we make up a great multitude longing to be treated with fairness and equality.
RE: Restrictions on Leveraged and Inverse ETFs
We know that these investment vehicles are legal, so restricting access is basically unethical and corrupt. If these investment vehicles are open to some, then they should be open to all. The proposal includes language about needing to pass a FINRA exam to invest. Scarry Part is the fact that other investment vehicles could become restricted as
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday
