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I have seen warning provided by the broker website on each buy trade. In addition I had to go through a risk signup document to confirm that I understand the risk.
Above steps are good way to provide disclosure on every trade.
However if the changes are being planned to make an investor go through certain tests then I think that is excessive, and would not appreciate putting such restrictions.
GUIDANCEShort Sale RequirementsSUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsRegistered RepresentativesSenior ManagementSystemsTradingTrainingOATSRule 3110Rule 3210Rule 3350Rule 3370Rule 11830Rules 6950–6957Short SalesExecutive SummaryOn June 23, 2004, the Securities and Exchange Commission (SEC) adopted certain provisions of a new short sale regulation, designated
I do not feel that I should have to go through hoops to make investments that I feel I am comfortable making. The government doesn't regulate my selection of houses I could buy (an investment in a volatile market), so I should not be restricted on my investment selection within the stock market. While I am Series 7 licensed, I still think it is excessive for anybody to have to take what
FINRA is committed to maintaining secure applications and infrastructure as we strive to protect the data we handle. We wish to encourage security researchers to report vulnerabilities in order to help us keep our enterprise and data safe.
FINRA reminds firms that the new FINRA/Nasdaq Trade Reporting Facility (the FINRA/Nasdaq TRF Chicago) will commence operation on Monday, September 10, 2018. The FINRA/Nasdaq TRF Chicago provides FINRA members with another mechanism for reporting over-the-counter trades in NMS stocks and complying with FINRA’s requirements with respect to back-up trade reporting arrangements, as set forth in
Proposed Rule Change to Adopt FINRA Rule 4553 to Establish a Fee Schedule for Access to Alternative Trading System Volume Information Published on FINRA’s Website
The choice of which investment products to buy is my choice, and should not be the choice of regulators.
I completely understand the risks these products carry. I do not need new regulations or tests imposed on me that limit my ability to purchase public leveraged securities.
I use leveraged securities to generate income weekly with a variety of strategies, and regulatory limits on my investment
Regulating this type of investment is an infringement upon the individuals ability to invest how they see fit. Americans already surrender a portion of their pay to fund a badly run retirement fund Social Security. As money has been deemed speech when it comes to campaign contributions, this appears a violation of ones personal speech in determining how they best see fit how to invest. I believe
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As of March 13, 1989, the following six issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,859: