The Credit Risk Management topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
It is your duty to know your risk when you make an investment. The investor needs to be provided with the benefit of doubt that sufficient due diligence is completed, before the investment is made. Opportunity and risk must go hand in hand. The risk in opening a business is significantly greater than these investments and anyone can open a business with minimal restrictions. A person opening
Inverse Funds are definitely essential for Small investors...
Families with Small capital, don't have the stomach to Sell futures. Inverse ETF's are the only way !!
Leveraged ETF's also should be available for Small investors & traders to participate.
I believe the risk of loosing capital is higher with options over leveraged index products. Therefore, I believe restriction should be similar to options. Further margin requirements should be substantially higher for leverage products based on the amount of leverage.
Our country should lead in innovation and capitalism. This space should be our pinnacle of achievement. Don't let the legacy banks and systems kill our future. Regulate deftly and with an easy touch. Let us lead again!
Using leverage to implement a life cycle investing strategy is both prudent and effective, especially for younger investors with limited capital and a long time horizon. Please do not make it harder for Americans to invest in a variety of leveraged vehicles.
These types of funds actually reduce risk for retail investors who wish to short the market. Conventional short-selling's losses are theoretically infinite while trading inverse funds ensures you only lose a fixed amount of capital.
A company like Titan gives me the opportunity to play the game like all these hedge funds but you only want to let them in on the fun. Continue to demonstrate why people hate everything about modern capitalism.
The individual small investor should have access to any and all investment vehicles available without arbitrary restrictions. This includes leveraged and inverse instruments as well as institutional products if the individual has sufficient capital to invest in these products.
As an individual investor who has managed my own assets for decades, I protest any regulations which will inhibit my investment choices. You must be aware that the stock markets are manipulated from many directions--to the disadvantage of the individual investor. Thus the Buffet advice of just buy SPY and ride it out. However, some of us do notice and invest in trends with special
