The Series 57 exam — the Securities Trader Representative Exam — assesses the competency of an entry-level registered representative to perform their job as a securities trader representative.
SR-FINRA-2008-066 - Proposed Rule Change to Reflect the Closing of the FINRA/NSX Trade Reporting Facility on December 31, 2008
It is these unfair practices that hamper investors to take advantage of the current market. This is not protection but a means to limit a persons ability to invest freely. We all know the risks associated with leveraged products and non leveraged products. This is just another way to prohibit individuals from getting the maximum out of their investments. We all know the downside when using
I've been investing in the stock markets, bond market, I've traded options and futures as well as currencies for 4 decades, and I do not want to be limited in any way as it relates to investing for example in the stock market if I decide I want to leverage long or short positions or use inverse funds to reach my investment goals. I've been doing this for over 40 years now, and I
I am not a major investor but have some funds that I actively manage which I am hoping to use for my kids college fund. I need the flexibility to decide if I want to be long, short, leveraged or not on my positions. I am not a high new worth individual or professional investor but I understand the risks I take in going short on a position or having a leveraged position. Largely these positions
This rule, being arbitrary and capricious, appears to be an attempt to limit the retail trader from benefitting from falling equities. Essentially limiting their ability to hedge the market. It's a misguided attempt to prevent a collapse of US equities which is unavoidable. A blatant attempt to stifle the retail trader from prospering in a highly manipulated market while securing the profits
The types of investments that could potentially be impacted by SEC Proposed Rule #S7-24-15 is lengthy and diverse, including Leveraged and Inverse Funds, and can legitimately be incorporated as part of a comprehensive investment strategy. These are publicly traded instruments and I am an experienced, educated, and informed investor. I should NOT need to jump through additional hoops to be "
Given that our government continues to promote low interest rate environments where elder savers are punished, inverse etfs are an excellent tool to hedge income based stock portfolios. Instead of focusing on singular market events to evaluate etf tracking error, the government should endeavor to actually study long term inverse etf tracking error and counter party risk. Leveraged etfs are
SEC Approves Amendments to Uniform Branch Office Registration Form (Form BR)
The forms required by Rule 11580 are published in NASD Notice to Members 96-14 (March 1996), pp. 70–75.
Amended by SR-FINRA-2010-030 eff. Dec. 15, 2010.
Adopted by SR-NASD-95-53 eff. Jan. 29, 1996.Selected Notice: 10-49.
