What should your firm do after it discovers that customers’ accounts have been compromised?
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today released its 2016 Regulatory and Examination Priorities Letter highlighting three broad issues – supervision, risk management and controls; and liquidity. The letter also emphasizes firm culture, conflicts of interest and ethics, and the significant role each of these plays in the way a firm conducts its business.
FINRA cites
There is no reason to restrict the retail investor from Leveraged and Inverse ETFs. The ETF companies and brokerage firms put out plenty of information and education about their products to keep the average investor informed. Trading stocks is risky it is not FINRA job to protect investors and traders from risk. As long as the ETF producers and brokerage firms make the information about the
Comments: Leverage and inverse fund are part of my investment planning. I under stand full risk of it impact on my portfolio. so before you ristric fund from trading provide more eduaction to the investor all investment product not for all. They should talk to thier adviser before investing this product. so please do not punish all investor because some investor does not under stand.
I have made a great deal of money over the years investing in leveraged funds. -- I regard them as an excellent long term investment vehicle. As one example, the TQQQ ETF fund from Proshares, has had an average annual return of 40% over the last 10 years! So long as there are adequate risk disclosures, and there already are such disclosures, I feel strongly that any investor should have the
Individual Investors have the ability to make sound decisions right for us for personally & family. Leveraged and Inverse funds just like the name states, is easily understood and expressive. NO MORE requirements should be placed. An investment strategy should have risk mitigation (Inverse fund) and opportunity to gain (Leverage) Law makers should fix Loop holes for Hedge funds, and
I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. If you want retail investors to continue investing through the rough markets, we need access to public securities like leveraged and inverse funds, which allow us to make bets against the market without the risks that come
I oppose restrictions to my right to invest. I-not regulators- should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I have made 200% in one stock and over 100% in three stocks. My banking stock is rising. I am capable of understanding leveraged and inverse and their risks. I do
I strongly oppose restrictions on my right to invest! I am able to choose public investments that are right for me and my family! I see no reason for you to restrict my use of them as I understand their risks! I don't need nor do I want your ways imposed upon me regarding leveraged and inverse funds which are important to my investment strategies. They are desirable even as a limited part of
I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. You 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. I am perfectly capable of understanding the risks and determining