Hello! I am relatively new in my career(just graduated with a degree in Computer Science) and finally have an income of my own to invest. I'm what you would call a self taught investor. Investing has always been my true passion. One of the great things about this time we live in is our ability to learn just about anything thanks to the internet. The individual should be able to choose
I recieved an email today about proposed restrictions on inverse and leveraged funds. I want to express how these funds can be a valuable tool to retail investors
With so many changes in trading in the last few years. No fee and fractional shares. It has opened opportunity to people with less money to invest
For years i used a name brand broker buying their mutual funds and holding forever. I
I have utilized leveraged mutual and ETF funds in my IRA portfolio for over 12 years and I strongly believe that I have been successful in enhancing my rate of return during certain market cycles. Although I do have significant retirement assets, I would likely not be considered an accredited investor. I have been investing, primarily through mutual funds, since the early 1970s. My portfolios
INFORMATIONAL
Initial Public Offerings (IPOs)
Voluntary Effective Date: December 23, 2003
Mandatory Effective Date: March 23, 2004
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Corporate Financing
Institutional
Legal & Compliance
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Syndicate
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Free-Riding and
To whom it may concern,
I request you do NOT add new requirements or restrictions to those funds deemed "complex." The term itself can be vague at best and requiring consumers to jump through arbitrary hoops still doesn't reduce the risk of harm in any way, but it could potentially exclude individuals from benefiting from their added diversification.
As a recent
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
Executive Summary
The Federal Election Campaign Act requires federal candidates and political committees that influence federal elections to file various reports and statements with the Federal Election Commission (FEC) and state governments, including lists of individual contributors. These reports and statements may be inspected and copied by anyone, but the names and addresses of individual
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Non-Conventional Investments
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Executive Summary
In the aftermath of the recent downturn in the equity markets, NASD reviewed the
FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
This notification warns member firms of an ongoing phishing campaign that began on or around Oct. 9 that involves fraudulent emails purporting to be from FINRA executives, in some instances containing a PDF attachment. These emails are not from FINRA, and firms should delete them and consider blocking their domains.
