I would like to make sure you consider that many investors outside of 'high net worth' individuals only have the capacity to understand the risks involved with leveraged and inverse type products which ProShares provides. I value the options that these types of products give me when it comes to having a well balanced portfolio in terms of both risk vs reward, protection (often a part of
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) has announced the appointment of Nathaniel Stankard as Senior Advisor to the CEO, effective immediately. In his new position, Stankard will provide counsel and strategic advice to President and CEO Robert W. Cook and FINRA’s senior management, and will assist with special projects.
“Nathaniel brings broad experience working on
The applicability of Section 40 (Rule 3040) to situations in which a financial plan is delivered to a customer without an execution of a securities transaction.
<p>Clarification of <i>NASD Notice to Members</i>
<i>94-44</i> to situations in which a dually registered person maintains discretionary trading authority, determines portfolio changes, and prepares trade instructions for customer accounts and charges the accounts an asset-based fee.<br /></p>
I want to choose the investments that are right for me. It is not for regulators to make this decision. I understand the risks of leveraged and inverse funds and weigh these risks in determining how much money I should invest in such funds. I enhanced my overall returns when I held such funds and sold them when I considered it appropriate to do so. If regulators step in and reduce access to these
Investors of Color are Entering the Market at a Faster Pace than White Investors and Tend to Be Much Younger, Report Shows
Remarks by Chairman and CEO Richard Ketchum at the FINRA Annual Conference
Dear FINRA regulators,
Though I don't work in the Finance industry, I work in Corporate Accounting, leveraged and inverse ETFs are part of my personal investment strategy. I do my own research, read as much of prospectuses as possible, and understand the risks I take before making trades. As a free American, I should be able to keep using leveraged and inverse ETFs like I always have
I'm outraged and terrified that FINRA would consider putting restrictions on leveraged and inverse investment vehicles. These are extremely valuable tools that I use to achieve the market exposure I want to have. Without these I would need to use other methods which would incur more costs, present more risk to me, and be less tax efficient. I've worked too hard in my career to
Hello, I wanted to make my voice heard re this issue.
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. I am capable of