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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
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
To whom it may concern, How dare you [REDACTED] sit there and try to make us, the consumer, have even less choices to decide what we do with our money and investment plans? We should be the one that makes the choices not you. Your job is to make whatever company signed up with you follows rules to protect the consumer, but this doesnt protect the consumer from the company, but rather is trying to
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
FINRA Regulators, as a self employed professional engineer who also sits on the Snyder County Planning Commission for the last 10 years, issues of regulatory affairs are common to me. And as a person who manages 2/3 of my retirement portfolio, having inverse tools to help protect against market downturns is vital to me. This is the second time within 10 years that an appeal has been made to keep
Summary
This Notice reminds members of the Securities and Exchange Commission’s (SEC’s) adoption of a best interest standard of conduct for broker-dealers and a relationship summary (Form CRS) delivery obligation, and provides an SEC email address where members may submit questions about the new requirements. As more fully described below, the SEC encourages firms to actively engage with SEC
<p>Separate sales contests are permissible under NASD Rule 2820(g) for group variable contracts.</p>
Kristin Chaffin partners with senior leaders to develop FINRA’s strategic talent goals and plans for a range of people-related programs, including talent management, organizational design, leadership effectiveness, diversity and inclusion and culture.
Before assuming her current role, Ms. Chaffin was head of FINRA’s Employee Relations, Investigations and HR Generalist team. She joined FINRA in
Katie Kuehns partners with senior leaders to develop FINRA’s strategic talent goals and plans for a range of people-related programs, including talent management, organizational design, leadership effectiveness, diversity and inclusion and culture.
Ms. Kuehns joined FINRA in 2007 and has served in a range of roles responsible for various aspects of Human Resources including Business Partnering,