WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined SunTrust Robinson Humphrey, Inc. (SunTrust RH) and SunTrust Investment Services, Inc. (SunTrust IS) for violations related to the sale of auction rate securities (ARS).
Comments: Leveraged funds are advertised as risky and they communicate that risk in frequent newsletters for investors to remember the added portfolio risk
Comments:Investors should be allowed to access and trade leveraged and Inverse ETFs as long as investors are given a description of risks involved and acknowledge the risks.
LEVERAGED FUNDS ARE EASY TO UNDERSTAND AND ARE A GOOD WAY TO ENHANCE RETURNS. THERE IS RISK WITH EVERYTHING, BUT OPTIONS ARE FAR MORE OF A RISK TO AVERAGE INVESTORS.
I would like to weigh-in on the regulations being considered by the Financial Industry Regulatory Authority (FINRA), to limit the availability of individual investors investing in leveraged and inverse funds, and other like investments without strict testing and special approvals by their broker.
Its my opinion that some brokers, who are part of FINRA are the reason that people like me seek other
I have been investing for over 20 years, mainly in common stocks but sometimes in so-called “complex products” like futures, options, leveraged and inverse ETPs, etc. I use them when I believe they are suitable tools for the market situation at that moment. I don’t mean that I always make right investment decisions but, as a retail investor, I find that it is very important for me to have the
I understand the risk involved in leveraged funds. Public investments should be available to everyone. It is my portfolio and solely my responsibility to take such risks.
Hi, I am an adult and I can take my own risk. I don't borrow money to invest and I response to my investment risk. Thank you.
Hello,
I make my own investment decisions. I do my research, assess the risks, and manage those risks as part of my total investment portfolio and strategy.
Please do not limit my investment choices.
Investors should be knowledgeable of what they are buying and the risks involved, the same as options. If you buy into a leveraged or inverse fund you should be aware of the risks and rewards.