While it is commendable to protect investors from undue risk, it is my belief that leveraged ETFs--with their risks, such as volatility decay, properly understood--can have their place in a well-managed portfolio. I use these products as a small percentage of my portfolio, but believe they serve an important function in helping me control my overall level of leverage while not taking on more risk
Verification of Emailed Instructions to Transmit or Withdraw Assets From Customer Accounts
WASHINGTON — The Financial Industry Regulatory Authority issued a new Investor Alert — Stock-Based Loan Programs: What Investors Need to Know — to educate investors about non-recourse stock-based loan programs, including the risks and rewards of these loans.
The investor should be responsible for making their investment decisions not some official. Leverage funds have great risk and thats a risk I am willing to take. All investments have risk, Enron collapsed, was a risk. A normal stock shows a miss on earnings and drops 30%, Netflix lost a small number of total customers and drops 40%. Can you protect all my investments, no, nor should you.
Leveraged ETFs and options can help investors reduce their risk and be a great tool when used properly. In many cases, these tools can reduce an investors risk overall portfolio risk. To exclude their use by everyday investors is to put many of them at a disadvantage and possibly an even more at risk position. Simply buying and holding individual stocks can be much more risky, and the equities
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Southwest Securities, Inc., of Dallas, $650,000 for deficiencies in due diligence, risk assessment and written supervisory procedures that permitted one of its correspondent firms, Cutler Securities, to create risk for Southwest through improper short sales.
Gen Z is beginning to invest younger than any generation before them. On this episode, we take a deep dive into a new study by the FINRA Foundation and CFA Institute looking at the attitudes and behaviors of Gen Z investors, including the role of crypto as an onramp, the use of social media and more.
Following are FAQs about FINRA’s research conflicts of interest rules.
Retail investor like me should have the equal right to choose in public investment like leveraged/inverse ETF as it is very important investment strategy for me. I should not have to go through the special process like passing test. As long as I understand the risk and agree to willing to take risk, I should be able to do it. If this right of mine is going to taken away due to high risk of
The SEC’s Office of Investor Education and Advocacy (OIEA), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), the National Futures Association (NFA), the Securities Investor Protection Corporation (SIPC) and the North American Securities Administrators Association (NASAA) are issuing this Investor Bulletin to provide investors with information about the three themes of World Investor Week 2023, a global campaign promoted by the International Organization of Securities Commissions (IOSCO): investor resilience, crypto assets and sustainable finance.