The Series 63 exam — the Uniform Securities State Law Examination — is a North American Securities Administrators Association (NASAA) exam administered by FINRA.The exam consists of 60 scored questions and 5 unscored questions. Candidates have 75 minutes to complete the exam. In order for a candidate to pass the Series 63 exam, they must correctly answer at least 43 of the 60 scored questions.For
This rules limits progress and hurts the working class account holder. I have met my goals only using leverage ETFs because I only had to use a portion of my capital for stock risk. And the rest in income producing assets! Please oppose this bill....and youll have my vote!
Apply the rules fairly. If you restrict leveraged and inverse funds apply them to ALL such funds, including bitcoin and other crypto.
If you raise the bar, inverse and leveraged do not need the same high bar as illiquid and opaque investments. The bar should be far short of those for accredited investors.
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Government in the USA is supposed to be by the people and for the people. I am tired of unelected regulators demanding and imposing rules that are not legislated and voted on by the people. We need diversified investment strategies to provide for our family members and to counter the challenges of inflation and shrinking GDP. Protect us from the government bureaucrats and the tyranny of the
The right to free market economics is predicated on the ability to invest one's funds as they see fit. This rule would not only remove that core freedom but devastate the possibility of new market opportunities to be born. Financial freedom is one of the core values of our nation as much as freedom of speech and religion, it should not be interfered with!
I think investors should have the freedom to invest the money they earn without a lot of restrictions. I have been using leveraged funds and options for many years and they have helped increase my earnings and protected investments that I have made. I request no special rules be implemented regarding leveraged or inverse funds.
Separate sales contests under NASD Rule 2820(g) for group variable annuity contracts and employer-sponsored retirement plans.
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EXECUTIVE SUMMARY
Since December 1, 1990, Nasdaq market makers that are also market makers in the Small Order Execution System (SOES) have been required to display sizes in their quotations equal to or greater than the SOES tier
FINRA Rule 4530 (Reporting Requirements) requires member firms to promptly report to FINRA, and associated persons to promptly report to firms, specified events, including, for example, findings of violations of securities laws and FINRA rules, certain written customer complaints, and certain disciplinary actions the firm takes. Member firms must also promptly report to FINRA certain internal conclusions of violations, and must report quarterly to FINRA statistical and summary information regarding certain written customer complaints. In addition, FINRA Rule 4530 requires member firms to file with FINRA copies of specified criminal actions, civil complaints and arbitration claims.
