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Dear Sirs/Madams,
As a retail investor, this is a terrible idea. Brokerages already offer nearly unlimited exposure to leverage with options, futures, futures options, and other products; not to mention 4x margin availability to even relatively small account-holders. Restricting access to some polymorph of accredited investors will only deprive informed retail investors of one of their few hedge
Regulators need to stop dictating what we as investors can and cannot due. The proposed regulations in rule 22-08 are akin to discriminatory voting test or other suppression tactics which have been used to disenfranchise broad demographic groups. All investments should be open to all. Regulations cannot protect us from ourselves. Restricting certain investments to high-wealth individuals or other
Overview
The following is a guide to assist applicants as they prepare and submit information and documentation for FINRA Form New Member Application (NMA). To conduct securities transactions and businesses with the investing public in the US, a broker-dealer and its associated persons must be registered with FINRA. An important step in the registration process is to seek approval for FINRA
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Broker/Dealer, Investment Adviser, And Agent Renewals
Payment Deadline: December 7, 2001
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Executive Summary
The National Association of Securities Dealers
Comments: To whom it may concern . My broker keeps me very informed of the risks that ETF holds . Unless you are going to come into the common peoples lives and rule how we manage our private money, whether that is gambling , drinking , excessive buying or saving, then you need to stay out of how I do my own stocks . ETF etc are my right to pick and choose . Not your right to say who or what I
To Whom It May Concern, The proposed regulation, while put forth with genuine intent is not fully appreciating the consequences. Needing to prove knowledge with testing requirements on a relatively basic product is overly cumbersome on an already overwhelmed regulatory body. These investment products afford retail investors an opportunity to participate in a more aggressive strategy to build
University of Georgia Professor Recognized for Pioneering Research and Advocacy to Advance Financial Inclusion and Alleviate Racial and Gender Bias in Agricultural Lending
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) today awarded Cesar Escalante the 2022 Ketchum Prize—its highest honor—in recognition of his outstanding service and research to advance financial
Preliminary Note: The requirements of this Rule are in addition to other existing member obligations under FINRA rules and the federal securities laws, including obligations to determine suitability of particular securities transactions with customers and to have a reasonable basis for any recommendation made to a customer. This Rule is not intended to act or operate as a presumption or as a
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Ex-Dividend Dates
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Ex-Dividend Dates
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) Uniform Practice Code (UPC) governs, among other things, the designation of "ex-dividend dates" (ex-dates) for
All reports should be consolidated for all markets in one location where it is easily accessible to all investors. FTDs should be reported daily and should be required to be cleared within a a T3 timeline without exception. Short positions and changes to those positions should be reported daily and that information should be made available to all investors no later than the next business day