Summary
FINRA is alerting firms to a recently identified vulnerability in Apache Log4J software, which is an open-source, Java-based logging utility widely used by enterprise applications and cloud services. The “Log4Shell” vulnerability presents risk for member firms because they may be using this software in internal applications, or the software may be embedded in third-party software
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Executive Summary
On August 20, 1996, the Securities and Exchange Commission (SEC) approved amendments to the NASD® Conduct Rules (Conduct Rules) giving NASD Regulation, Inc. (NASD RegulationSM) expanded sales-practice authority over
I am a retail investor in my later 30's. I have only been contributing to my 401(k) for the last 4 years, and opened my Roth IRA in early 2020. I have not been investing very long, and plan to be working another 30 years before I'll have enough to retire on. I tell you this only because I want you to understand how totally and completely the last 18 months have shaken my confidence in
Look, most folks already have an investment advisor. I expect HER to know whatever regulations you folks are planning to add to the process of buying investment products. Furthermore, your idea for additional regulation sounds to me just like a LITERACY TEST FOR VOTERS. So here's the deal... I'll buy your "additional investing regulations" just as soon as we
I am fully aware of risks and benefits associated with leveraged ETFs. I have made a conscious decision investing in these funds which has helped me achieve my retirement goals sooner. I work for University of Southern California who has not been able to help me in retirement saving. I achieved in a short period of time what university's retirement fund specialists were planning in 20
Regulators should stay out of choosing what types of publicly traded investments are right for market participants.
Public investments should be available to all market participants, not those deemed "worthy" by regulators.
No one should have to take a test in order to trade a leveraged or inverse ETF.
Leveraged and inverse funds are important for portfolio strategy,
I want to voice my opposition to any restriction to my current ability to purchase leveraged and/or inverse funds as they are an important component of my investing strategy, especially in my wife's and my deferred compensation plans that limit investment purchases to mutual funds. As retirees, we use these funds help protect/hedge our investments by providing opportunities for enhanced
To Whom It may concern:
I have successfully been investing in ProShares leveraged funds since 2012, over 10 years. Investing in the leveraged funds has enabled me to achieve an above average annual return. The wealth generated from these investments has largely been in a tax deffered Profit Sharing Plan and an IRA.
They provide me with a greater sense of mental well being, which carries over
I am diametrically opposed to the financial liberty restrictions being proposed. It is abhorrent that such things would even be considered in the United States of America. Free enterprise is the bedrock of our world leadership across the board. It is the height of elitist distain for the common man to deny access to financial instruments while reserving access to the wealthy who can afford the
Why does this really of locking down investments so only the very rich and government saps can invest? Pretty much sounding like you're intentionally going to crash the markets on everything else as you all move your money into these accounts to protect it. Just so "you can own nothing AND NOT BE HAPPY". Sorry, your [REDACTED] tag claiming everyone will be happy when only you will
