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I have invested effort and money into learning investing, a key component of which includes hedging strategies using inverse ETFs. These trading instruments should remain to ALL traders in the public domain. It seems unfair to have a special process and test out given this is not the case with 401Ks, or even the ability to vote from an understanding of the issues that we are supporting or voting
I want the ability to make my own decisions on what investments to make and when to make them. Timing can be everything. A "cooling off period" could miss the opportunity. You don't have to take a test to invest in the market, go to Vegas, or buy expensive cars and toys, so why single this out? Some people aren't good at tests but are capable of incredible knowledge and
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 am capable of understanding leveraged and inverse funds and their risks. I do not need these measures imposed on you. FINRAs definition of complex products is so broad, arbitrary and vague that it could ensnare a vast number of commonly used
If this regulation is necessary why wouldn't every investment require a similar set of regulations? Why not a test for every investment - including the US Dollar? I would much prefer that you mandated a test for the right to vote. BTW - I also know that if I spill burning hot coffee on myself it will hurt. Do we need to add a detachable form to hot-cups acknowledging the purchaser's
Firm Ordered to Pay Approximately $70 Million for Systemic Supervisory Failures and Significant Harm Suffered by Millions of Customers
WASHINGTON—FINRA announced today that it has fined Robinhood Financial LLC $57 million and ordered the firm to pay approximately $12.6 million in restitution, plus interest, to thousands of harmed customers. The sanctions represent the largest financial penalty
Year 2000 Update Reminder To Members About SEC Filing Requirements
The Securities and Exchange Commission (SEC) recently amended its Rule 17a-5 to require all broker/dealers to file two reports concerning Year 2000, using Form BD-Y2K (Form). All members received this information available through NASD Special Notice to Members 98-63.
The new reports relate to each member's readiness and
SUGGESTED ROUTING:*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of April 12, 1991, the following 19 issues joined Nasdaq/NMS, bringing the total number of issues to 2,535:
Symbol
May 31, 2005
NASDAQ has recently enhanced the SuperMontage order modification process to allow for, among other things, the price of an order to be changed without having to cancel the original order and submit a new order.1 This enhanced order modification process impacts members' OATS obligations when reporting order modifications for orders that have been routed to SuperMontage. In
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The OTC Bulletin Board is scheduled to start June 1. The OTC Bulletin Board includes the first real-time display of firm and nonfirm quotation information on potentially more than 10,000 thinly traded securities
Look, most folks already have an investment advisor. I expect HER to know whatever regulations you folks are planning to add to the process of buying investment products. Furthermore, your idea for additional regulation sounds to me just like a LITERACY TEST FOR VOTERS. So here's the deal... I'll buy your "additional investing regulations" just as soon as we