For individuals who are currently registered reps or employed with a firm, you should work with your firm’s compliance department to make sure that you are properly registered, provide your firm with timely updates to your record and understand your obligations as a Registered Rep.
While your firm manages most of your information, you can use the Financial Professional Gateway (FinPro) system to
Investors looking for different ways to diversify their portfolio by providing access and exposure to illiquid strategies or alternative assets may look to interval funds, but these come with unique risks and characteristics and have a fee structure that may be higher than those charged by other types of funds.
The Neutral Corner, Volume 6—2008
I disagree with strong government oversize. I believe anyone that chooses to invest does so at their own risk and as such is responsible to procure the information or education necessary to do so. I believe government regulations of individual choice is wrong.
Simplifying digital interactions with FINRA to reduce compliance costs and enable more effective compliance programs.
The proposed changes are very restrictive. Individuals should be able to decide about public investments. I often use leveraged and inverse funds to reduce the risk of existing investments. There is plenty of information available on their risk/return profiles.
Im an investor who is quite capable of making my own investment decisions. If you wish to regulate investments try imposing restrictions on politicians who game the system and get rich with inside information!
As an informed investor, let me have the freedom to continue on to invest in leveraged and inverse products. Yes, investment is not without risk, but why should certain firms have more access than an individual investor?
How about instead of trying to regulate the free market you start preventing congress from trading on inside information aka nancy pelosi. Leave my leveraged etfs alone you communists
FINRA Notice of Contested Election and Ballots for Small Firm NAC Member Seat
