Displaying 441 - 450 of 1859 Results
The Liquidity section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
This is a good plan, the financial service industry has been playing with a loaded deck for years now. Its time for the regulatory bodies of the government to rein in the reckless and border line illegal behavior.
Please cease and desist with any plans to alter my ability to make financial decisions on my own behalf! I do NOT need a caretaker, custodian, or any other government assistance here.
I use leveraged and inverse ETFs as a part of my investment plan for my family. It's easy to understand what they are and how they work. No restriction on who can buy them should be made.
Please do NOT take away my rights to use leveraged funds. these are important tools in my financial plan. DO NOT regulate my personal choice. Thank you Kurt Pommerening
reveraged funds are really important for my investment.i know it has more risk, but understanding for the risk brings less risk . regulation may give me financial loss as it restrict my plan
In the last 5 years I have made a substantial amount of wealth using these leveraged investments and plan on retiring soon using them.
My ability to make wealth for me and my family should not be restricted.
I need to buy leveraged ETF such as QLD and TQQQ in order to achieve my financial retirement plan goal. Please provide me the opportunity to buy leveraged ETF for me and my family's future.
Separate sales contests under NASD Rule 2820(g) for group variable annuity contracts and employer-sponsored retirement plans.
A plan like this will cost me tens of thousands of dollars as it will tank my current investment.
I have a BA in economics and I'm an accredited investor.
With leveraged products unskilled and uneducated investors are disposed of quickly by the market.