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Here's some good news for our nation's veterans and those who care about their welfare. The financial well-being of U.S. military veterans has improved in recent years, outpacing the gains of non-veterans, according to new research by the FINRA Investor Education Foundation. Veterans, overall, reported having less difficulty covering their expenses and bills, had a lower likelihood of experiencing an income drop and were more likely to have an emergency fund, according to the survey of more than 3,000 veterans and more than 20,000 non-veterans.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 20, the National Market System will include 834 securities as 50 more NASDAQ securities are phased into the System. These 50 securities meet the SEC's voluntary designation criteria, which include six-month average trading volume of 100,000 shares a month and a minimum bid price of $5.
The 50 securities scheduled to
I am John Gannon, Senior Vice President for Investor Education with the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just The privileged. Furthermore, I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I did not have to do this to make a purchase. I am capable of
Once again the Federal Government is going to try and decide what is good for the public, the same public that pays for everything. The only person that should decide how I invest MY money, is ME. If you are going to impose a "test" in order for me to show understanding of the financial instruments I choose to invest it, I guess you're also going to reimpose the "poll tax
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
17a-4 Records to be preserved by certain exchange members, brokers and dealers.
This section applies to the following types of entities: A member of a national securities exchange who transacts a business in securities directly with others than members of a national
I am a retail and self-directed investor mainly trading and investing in US listed leverage & inverse ETFs and associated exchange traded options. I am also a finance professional with work experiences in investment advisory on vanilla and structured products, including equities, fixed income, interest rates and currencies, in overseas jurisdictions outside of the US, and hold MBA and CFA
Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit
I want to be able to choose the Public investments that are
right for myself and my family. Public investments should be available to all of the public, and not just the privileged.
I feel that I should not have to pass a test before investing in public securities such as leveraged and inverse funds. I am able to understand these funds and their risks. These investments help my portfolio grow