FINRA Provides Guidance on Advertising Regulation Issues
Individual investors should be free to make their own investment choices in well regulated markets. Taking away or making it more difficult to invest in leveraged and inverse financial products could drive investors away from regulated markets and subject them to increased fraud. The risks associated with these products is already well documented in the prospectus. These types of investment
WASHINGTON— FINRA announced today that after nine years in the Department of Enforcement, Christopher Kelly plans to leave FINRA on Nov. 1 to pursue other opportunities. In his most recent role of Senior Vice President and Deputy Head of Enforcement, Kelly oversaw the work of FINRA’s Enforcement attorneys throughout the country as well as Enforcement’s Litigation Group.
“Chris’s contributions to
Here's the deal. Been using these on occasion for years. Never needed any special training, education, or program for use. A simple warning of increased risk should be enough for anyone who can read.
While Generative AI and large language models present numerous opportunities to create business efficiencies and offer many potential benefits to firms, regulators and investors, they also introduce unique risks. On this episode, we hear from three experts at FINRA who are closely looking at these technologies and following developments in this space.
Treatment of Commodity Pool Trail Commissions under Rule 2810 (Direct Participation Programs Rule); Effective Date: October 12, 2004
I don't understand how you can decide to limit investment opportunities on leveraged funds that I have bought for over a decade. This is absolutely insane. I know what I am investing in and have done well for over 20 years. It is disgusting that you would try to limit my ability to invest in something that I know well and are important to my investment strategies. These are legitimate
I have bought and sold shares in TQQQ for many years and used them judiciously in my portfolio. They were instrumental in helping me recover from the Covid correction in March 2020. I am well aware of the risks involved in owning a leveraged fund as well as the ETF decay associated with this fund. TQQQ has been extremely valuable to my investment strategy. Anything other than a broker alert that
As an investor, I should have the freedom to choose my own investments and take full responsibilities for my gains as well as losses. I will never invest on anything that will test my ability to invest or make sound decisions. The financial crisis is a perfect example of over regulated investments. I want to be able to invest in a market on the way up as well as on the way down. Regulators always
As a scientist as well as a financial advisor working with WFG, I sincerely believe it is myself 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. I am completely understands the
leveraged and inverse funds and their risks and I want to use them as a tool to
