The Series 39 exam — the Direct Participation Programs Principal Qualification Exam (DP) — assesses the competency of an entry-level principal to perform their job as a direct participation programs principal.
The Series 22 exam — the Direct Participation Programs Limited Representative Exam (DR) — assesses the competency of an entry-level registered representative to perform their job as a direct participation programs representative.
The Series 16 exam — the Supervisory Analyst Qualification Exam (SA) — assesses the competency of an entry-level principal to perform their job as a supervisory analyst.
Effective November 11, 2008, the requirements in NASD Interpretive Material (IM) 2110-2 (Trading Ahead of Customer Limit Order) apply to over-the-counter (OTC) equity securities, as defined in NASD Rule 6610(d).
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The NASD® published the following Notices to Members during 1992. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of
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.
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 lost tons of money by holding inversed leveraged ETFs, but it has more to do with Feds willfully propping up the market with easy money than misunderstanding of the risks of these type of instruments. Investors should have the freedom to invest in what they believe, and the regulator should be make sure fair rules for everyone, not by limiting the instruments available to investors.
Investors should not be vented with personal investment decisions. The prospectus outlines all extra risks and no one should be tested or censored by anyone if a decision to invest personally. I have a right to do what I want with my own money. Regulators should not harass investors with rules about purchases in leverage/geared investments and pay more attention to crypto?
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.
