Displaying 3581 - 3590 of 9026 Results
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
As a retail investor, I think it is so important to get accurate data. With the amount of fines and rules that have been broken by brokers, we cannot allow for a self-reporting system to continue. We need massive overhauls in our system and it starts with having accurate information, especially when it comes to short interest.
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsSystemsTrading
Discussion
In Notice to Members 94-09, published in February 1994, the NASD announced Securities and Exchange Commission (SEC) approval of a new Section 46 of Article HI of the Rules of Fair Practice requiring members holding open orders to adjust the price and size of such orders by the amount of any dividend
I live in rural Pennsylvania, and I will be the first to admit that I have no idea how investing works. However, the mere suggestion that ordinary people should have to take additional measures, such as passing a literacy test, in order to invest their hard-earned money makes me furious. The United States is built on the idea of freedom, which includes a free market. By only allowing those who
I am absolutely opposed. This type of classism will further promote the growing disparity within our nation. It is the antithesis of equality and cements the fast growing perception that America is a land without opportunity. There should not be a list of requirements to complete before having the ability to access investments in private securities.
The course of action proposed is starkly
I'm writing to tell you that I do NOT want any restrictions placed on my ability to trade leveraged funds such as the TQQQs and SQQQs. I'm a young investor who has had great success using the volatility on these funds to grow my accounts. I've been able to pursue my dream of working as a professional musician due to the benefits of my trading income. I've been
I am an individual investor. I believe that I 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.
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. Certainly I understand
I AM CURRENTLY AN OPTION BUYER AND SELLER AND SUPPORT THE REQUIREMENT OF EITHER TAKING A TEST TO ASSESS THE KNOWLEDGE THE INVESTOR HAS/HAS NOT ACQUIRED OR POSSESSES ON THE VARIOUS STRATEGIES IN OPTIONS TRADING TO ENSURE THE INVESTOR HAS THE KNOWLEDGE NEEDED TO HANDLE THE CONSEQUENCES AND RESPONSIBLITITIES ADEQUATELY. SHOULD THEY FAIL SUCH AN EXAM-OR PREFER TO TAKE A COURSE ON THESE ISSUES
As a self advised , private investor I should not have any restrictions placed upon what I can choose t invest in for myself and my family. I shouldn't have to go through any special process like passing a test before you can invest in public securities, including cryptocurrency funds such as BITO. I fully understand cryptocurrency funds such as BITO and their risks. These investments
Dear Sirs,
As owner of leveraged and inverse funds I am opposed to any legislation or regulation of these funds owned by private investors. I believe I should be the one to be able to choose the public investments that are right for me and my family. These investment should be available to the public without any restrictions such as passing an imposed test of my specialized investment knowledge