SUGGESTED ROUTING*
Legal & ComplianceOperationOptionsRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved two additions to the NASD's qualification and registration programs. The two new tests, which will be available for member use beginning January 2, 1990,
i should ba able to choose my investments on my own.ishould not have to go through a special test process investing in bito is important to achieve my own objectivesjohn van dam
Public GovernorRetiredGovernor Since 2018Committees: Audit & Risk Committee (Chair), Compensation & Human Capital Committee, Conflicts Committee, Executive CommitteeProfessional ExperienceExecutive in Residence, Christopher Newport University (2015 – 2018)Executive Vice President, Operations and Technology, TD Canada Trust (2011 – 2015)Executive Vice President, Human Resources
Do I have a freedom to choose what public investments that are right for me and my family?
Do I need to take a test first in order to ride on a public bus or shuttle to attend schools?
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 oppose limitation on my investment!
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 oppose limitations on my investments.
I should be able to choose what investments are right for me. I shouldn't have to go through any test for doing this. I use these investments to safely hedge my returns with other investment opportunities.
There should not be any special process, tests or other to be able to invest in public investments. Leveraged investments are part of an overall strategy that will enable retirement. There is no reason to have any type of regulation on these funds.
I understand the risk of leveraged ETF/products and use them carefully. They help me get bigger returns with less capital. I should be able to choose what I invest in without having to pass tests.
I understand the risk of leveraged ETF/products and use them carefully. They help me get bigger returns with less capital. I should be able to choose what I invest in without having to pass tests.
