I shouldn't have to go through any special process
like passing a test before I can invest in public securities,
like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds and their risks. I do not need these measures imposed on you. You do not need to protect me from myself. Go do something useful and so not waste tax dollars chasing wild dreams
I shouldn't have to go through any special process
like passing a test before I can invest in public securities,
like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds and their risks. I do not need these measures imposed on you. You do not need to protect me from myself. Go do something useful and so not waste tax dollars chasing wild dreams
Each individual not regulators should be able to choose the public investments that are right for them and their family. Public investments should be available to all of the public, not just the privileged. One shouldn't have to go through any special process like passing a test before being able to invest in public securities. We are all capable of understanding our investments and their
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined LPL Financial LLC $950,000 for supervisory deficiencies related to the sales of alternative investment products, including non-traded real estate investment trusts (REITs), oil and gas partnerships, business development companies (BDCs), hedge funds, managed futures and other illiquid pass-through investments.
Summary
FINRA has recently observed an increase in fraudulent options trading being facilitated by (1) account takeover schemes (sometimes referred to as account intrusions), through which a bad actor gains unauthorized entry to a customer’s brokerage account; and (2) the use of new account fraud1 by a bad actor who fraudulently establishes a brokerage account through identity theft.
This
How can your firm effectively supervise high-risk activities and individuals, and how has Reg BI and the remote work environment impacted supervision in this area? What heightened monitoring should your firm conduct with respect to high-risk activities and individuals? Attend this session to hear FINRA staff and industry practitioners discuss practical examples of high-risk conduct and supervisory practices.
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
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.
How is owning a security a bigger threat than owning a firearm? Currently I dont have to take any tests or demonstrate any knowledge to own a firearm or ammunition, and any risks involved with gun ownership the government considers acceptable. So how exactly does these new rules protect me? I dont see how the government can tell me Im competent enough to own a firearm and ammunition but not a