I do not need to take a test I have been trading leveraged and inverse funds for 25 years.
I know the risks and rewards in leveraged investment strategies.
I do not need to take any test to invest in these.
Industry Governor (Large Firm Representative)Chief Operating Officer, Raymond James Financial Governor Since 2023Committees: Conflicts Committee, Executive Committee, Finance, Operations & Technology Committee (Chair), Nominating & Governance Committee, Regulatory Policy CommitteeProfessional ExperienceRaymond James Financial Chief Operating Officer (2024 – present)President –
GUIDANCE
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Legal & Compliance
Registered Representatives
Registration
Research
Senior Management
Training
Qualification Examinations
Registration
Research ReportsRule 1050
Supervision
Executive Summary
NASD has amended NASD Rule
For Your Information
Decimalization And Qualification Exams
On April 9, 2001, equity securities trading on Nasdaq® will be fully converted to decimals. On that date, test questions on all qualification examinations administered by the NASD® will also be changed to decimals. The purpose of these changes is to conform with the new industry norm. This will not result in substantive changes to the
Just as other fields have classifications, so do equities. Here is a guide to the Global Industry Classification System otherwise known as GICS.
Our free enterprise system opens and allows of many income levels to opportunity to invest the market system ,national,global, to set regulations is to dampen the freedom to choose the best viable stock option, secure or insecure stocks.
Proposed Rule to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
We find it outrageous to mess with a system that works, only for government benefit. Everyone should have the choice of investing in which public equities or bonds they chose. Please oppose any interference or change to our present system.
GUIDANCE
Sanction Guidelines
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Systems
NASD Sanction Guidelines
Executive Summary
This Notice advises NASD members of modifications to the NASD
Sanction Guidelines (Guidelines). NASD is amending the quality of
markets guidelines and the guidelines for violations of Municipal
