WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC $1 million and ordered $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal bond transactions, and related supervision violations.
I should be able to choose the public investments that are right for me. 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 you can invest in public securities like leveraged and inverse funds. Explain that you are capable of understanding leveraged and inverse funds and their
Respected Regulators, Leveraged and inverse ETFs help me hedge my portfolio and I would really appreciate if you don't impose any rules such as passing a test before investing in such ETFs. Investors understand the risks these risks since the information is widely available. I would really appreciate if you let investors choose what works best for them. Thank you!
I oppose restrictions to my right to invest on those Leveraged and inverse ProShare ETFs that are currently offered to public. I shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. As long as the description of those funds are available for me to view and understand the risk no additional measures
Hello---I feel I should have the right, not a regulator, to make my own decisions regarding my personal investments and strategies. Furthermore, I shouldn't be required to have to pass a test to invest in anything I which I would like to invest--it is not the governments job to regulate my personal choices and my preference for my personal investments. Please do not regulate my personal
Stop being big brother. I am happy to take a test demonstrating my knowledge of the product and risks I am exposing myself to. We have no access to private equity and other investment vehicles that have performed in the past. Why cant you give us access to the same opportunities wealthier people have? Stop denying opportunities to make and lose money!
I shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. Explain that you are capable of understanding leveraged and inverse funds and their risks. I should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not
I used to be in the investment business and earned a Series 7 with a test score of 93. Even without that, as long as an investment is thoroughly explained, the right to purchase it should not be restricted. I've made plenty of investing mistakes, but it's all about freedom; and too many people in positions of authority want to control every aspect of our lives. They and the education
Forcing investors to go through any special process like passing a test before they can invest in public securities, like leveraged and inverse funds should not be imposed on investors and should be the sole responsibility of the individual investor. Limiting public investments to only the privileged will only make it more difficult for the average investors to build wealth or protect the wealth
Please do not burden leveraged and inverse ETFs with more regulation. You will be taking my rights away to freely invest in these vehicles. I should be able to make my own choices and not be restricted by government excessive oversight. I shouldn't be required to pass a test to invest. Inverse funds are important to me to mitigate risk when investing and protecting against the downside. I
