I, not you are best able to determine what types of investments are best for my wife and I. WHY are you proposing regulations that may limit my ability to structure our investments the way I have successfully done for over 50 years, in part using leveraged and inverse funds? Are you trying to protect investors from themselves, perhaps trying to reduce volitility in the markets, or just have time
What should your firm do after it discovers that customers’ accounts have been compromised?
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Corporate Debt Securities
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Executive Summary
NASD has received multiple requests to broaden the provision of
previously non-public historic
Public investments should be available to ALL of the public, NOT just the PRIVILEGED few.....
All one has to do is read what is provided by the securities to know, understand what they offer... It is a joke, insult to think I would need to take a class, pass a test to try to make money with MY MONEY.......
When the market is DUMPING as it currently is its nice to make a few dollars, hedge my
I consider these proposed rules to be yet another abridgment of a citizen's right to do with his money what he chooses. I have half a century of experience in investing in stocks and bonds of all varieties. I learned how to do it the hard way, not by taking a test, but by self-study and experimenting with various instruments. I administered 2 employee pension plans as well as my own
FINRA may at any time authorize the use of the FINRA/NYSE Trade Reporting Facility on a test basis for whatever studies it considers necessary and appropriate.
Renumbered from Rule 6330C by SR-FINRA-2008-066 eff. Jan. 1, 2009.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2007-011 eff. April 18, 2007.Selected Notice: 08-57.
A member or person associated with a member disciplined pursuant to Rule 8310 shall bear such costs of the proceeding as the Adjudicator deems fair and appropriate under the circumstances.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-97-28 eff. Aug. 7, 1997.
Amended Nov. 1, 1991; Apr. 15, 1992.
Selected Notices to Members: 90-61, 08-57.
To whom it may concern,
I oppose any restrictions on my right to choose to make investments in any public investment. Investments should be available to all, not just the rich and privileged. I am perfectly capable of making my own investment decisions, I don't need you to tell me what is and what isn't a good investment.
I have already lost out on tens of thousand of dollars
How FINRA Assesses Performance of its Machine Learning Models
Data science has come a long way in the past 10 years. As machine learning projects become productionized, they look increasingly like software projects. Focus has shifted from presenting charts to integrating AI software into a production pipeline. There is still plenty of work in the former scenario, but the latter has become more
I recently learned of Finra's interest in taking the choice of how an individual investor wants to invest away from them. Regulators should not have the ability to limit how an individual wants to invest his/her funds. There are already plenty of government regulations that limit how much we can invest in tax deferred options. The government should also not limit investment options to just
