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I am an investor in leveraged funds like TQQQ and perfectly understand the risks involved in such funds. I do not want to go through any test to prove my ability to trade such funds. Please do not place undue burden on investors by bringing in unnecessary hurdles like a test, high N/W etc
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 7010 to modify pricing for NASD members using the ITS/CAES System and Inet facility, which are currently operated by The Nasdaq Stock Market, Inc. and its subsidiaries ("Nasdaq") as facilities of NASD.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 7010 to modify pricing for NASD members using the ITS/CAES System and Inet facility, which are currently operated by The Nasdaq Stock Market, Inc. and its subsidiaries ("Nasdaq") as facilities of NASD.
I would like to be able to choose whether or not to buy and sell leveraged and /or inverse funds. I don't think I should have to pass any test to insure I know what I am doing. Next step would be to have me take a test in order to buy AT&T (T) or McDonalds (MCD) or Home Depot (HD).
It is up to me not the government if I want to invest in leverage securities. I have investments in both leveraged and non-leveraged. I do not need to take a test to decide to do this. Anyone that looks at a funds daily history should easily see they are more volatile than non-leveraged. If they need a test to determine this, then they should not be handling their own investments.
I have a high net worth and significant knowledge of investments and currently invest in leveraged funds. I passed the CFA level I test without any study or preparation for it. I do not see any value in requiring me to pass a test or go through a cooling off period before I invest in leveraged or inverse funds.
WASHINGTON – Starting Monday, October 1, FINRA will offer a new qualification exam—the Securities Industry Essentials (SIE)—for prospective candidates seeking to enter or re-enter the securities industry.
The SIE will assess a candidate’s knowledge regarding fundamental securities-related topics, including knowledge of basic products, the structure and function of the securities industry, the
Executive Summary
In mid-January, the Securities and Exchange Commission (SEC) approved a revised NASD Manual. To facilitate your adjustment to this new Manual, which is scheduled for publication and dissemination this May, we have included a Guide to the Manual: New-to-Old Conversion Chart and Old-to-New Conversion Chart. This material outlines the reorganized Manual and indicates where the
As of January 30, 1996, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
GRLC.GA
Great Lakes Carbon Corp
10
1/1/2006
NEOD.GA
Neodata Services Inc
12
5/1/2003
Thank you, Bill [Press], and good morning, everyone. It's great to be here with you.