Continuing Education Planning
Interval funds are closed-end investment companies that may appeal to investors looking for new ways to diversify their portfolio. Here are 6 things to know before investing in interval funds.
SummaryFINRA will conduct its Annual Meeting of firms on Wednesday, September 11, 2024, at 10:00 a.m. Eastern Time at FINRA’s Washington, DC, office located at 1700 K Street, NW, Washington, D.C. The purpose of the meeting is to elect one Small Firm Governor, one Mid-Size Firm Governor and one Large Firm Governor to the FINRA Board of Governors (FINRA Board or Board).1It is important that all
I am a private investor and am writing this letter to express my concerns with the actions proposed in the FINRA regulatory notice 22-08. The actions described in the notice seem to fall under the premise that the government can chose the publicly traded investments that are best for me or worse, I have to jump through hoops to pass some sort of government test to invest in things such as
Please do NOT take moves to restrict my right to invest in leveraged or inverse funds. Whether I choose to make such investments should be MY decision, based on my own knowledge and judgment, not that of a regulatory body such as FINRA. I have used leveraged and inverse funds for many years, always as a very small part (less than 5%) of my investment portfolio. I use them sometimes as a hedge and
I oppose any restrictions to my right to invest in public securities like leveraged and inverse funds. As a private citizen I, not a regulator, should be able to choose the public investments that are right for me and my family. I don't feel I should have to go through any special process like passing a test before I can invest in leveraged and inverse funds. I did the homework BEFORE
Based on my own investment and accounting experience, education and forma FINRA licensing I am capable of understanding leveraged and inverse funds and their risks. I should not be required to go through any special process or passing a special test before I can invest in any public securities, including leveraged and inverse funds. I should be able to choose whatever public or private
January 2011 Supplement to the Options Disclosure Document
WASHINGTON – Many U.S. investors with “alarmingly low” levels of financial knowledge lack confidence in their ability to meet their financial goals, according to new research conducted by the FINRA Investor Education Foundation (FINRA Foundation) and the Global Financial Literacy Excellence Center (GFLEC) at the George Washington University School of Business.
“Investors are seeing a rapid
Remarks from the FINRA Annual Conference