Washington, DC - The Financial Industry Regulatory Authority (FINRA) today issued What to Expect When You Open a Brokerage Account, a step-by-step guide to help investors opening new investment accounts.
SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report
Leveraged and inverse funds are an important part of an investment strategy. They can help to reduce risk as well as boost returns when combined with a balanced, diversified portfolio. Like all investment vehicles, they can be used improperly, but this fact should not be used to restrict trading or especially to limit them to high-income investors. It is not fair to give accredited investors such
I support this regulation as a step towards decreasing the systemic risk and opportunities for market manipulation created by the current, insufficient standards for reporting short position activity.
What should your firm do after it discovers that customers’ accounts have been compromised?
SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities)
Dear Officer,
As a retail individual investor I found that the leveraged ETFs enhances our ability to have more returns with acceptable risk. Although it can lead to losses in downturns and choppy market conditions, overall I find it a useful tool for parts of the portfolio. I request you to not take them away from us as it will lead to more asymmetrical privileges for people who already have
Hi,
I have used Leverage funds for many years and it is an important part of my investment strategy. I understand the risks of the leveraged fund and prefer that strategy over options and margin purchases. This is clearly not a concern of regulators as it poses no threat to the overall stability of the world financial system and frankly is an overreach into what investors can use. Thus i
I should be able to decide which investments are right for me and my family without having to jump through hoops. Some of the investments included in this proposed rule are part of my portfolio strategy and will continue to be to help me hedge against risk. Proposals like this hurt the broader population and benefit those already wealthy by reducing the access to beneficial vehicles and
To whom it may concern: It should be my choice as to where I invest my hard earned money. I should not have to go through any special process like passing a test before I can invest in public securities, or leveraged and inverse funds. I am perfectly capable of understanding leveraged and inverse funds and their risks. I do not want nor need these measures imposed on me. Thank you.