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FINRA has delayed the launch for the expansion of summary data relating to over-the-counter (OTC) equity trading that FINRA publishes on its website. The revised date for this information to become available will be Monday, December 2, 2019.
Beginning on December 2, 2019, FINRA will provide:
new monthly aggregate block-size trading data for OTC trades in NMS stocks executed outside an
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'm writing to express my opposition to restrictions inhibiting my ability to invest in public investments.
I'm an informed and experienced investor. I have gaind my knowledge through study and experience in the markets. I understand leveraged and inverse funds and the though of restrictions and the possibility of having to navigate a special process (test taking) is
I am writing to express my objection to any upcoming restrictions to my right to invest. As an investor, I should be able to choose the public investments that are right for me and my family. Neither FINRA, the SEC or any other agency or NGO knows my situation nor can it decide what is best for me. Further, I should NOT have to go through any special process like passing a test, before I can
I not regulators 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. Likewise, government should not have the right to force people into investing if they dont want to invest. Who will pay more attention to their own money but the owner.
I shouldn't
I believe investors should be able to choose what investments that they want to invest in. I used these investments as a hedge for my portfolio. I do think that the acknowledgement of risk and investment experience should play a role in whether investors can invest in leveraged products, but the approval process should be similar to the process for getting approval to trade stock options. It
I feel I should not have to go through any special process like passing a test before I can invest in public securities, like leverage and inverse funds. I am perfectly capable of understanding leveraged and inverse funds and their associated risks. I do not find it all necessary to have these measures imposed on investors like myself. Leveraged & inverse funds are a very important
I understand the risks involved in leveraged investments and I am fully capable of using such instruments in my portfolio to increase the diversity and return of my accounts. All investments carry risks and I have used leveraged funds for over ten years. I should not be required to take any tests or special processes as I feel comfortable and accomplished that my experience and portfolio
I - not regulators should be able to choose the public investments that are right for me. Public investments should be available to all of the public, not just the privileged.
I shouldn't have to go through any special process like passing a test before I can invest in public securites, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds and their
we should be able to choose the public investments that are right for us and our family. Public investments should be available to all of the public, not just the privileged. We shouldn't have to go through any special process like passing a test before we can invest in public securities, like leveraged and inverse funds. We are capable of understanding leveraged and inverse funds and their