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FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Setting goals help us meet life’s major objectives, from staying healthy to retiring with a well-feathered nest egg. Investment goals provide structure and purpose to the money we allocate to investment products, such as stocks, bonds and funds.
All investments carry some degree of risk. Stocks, bonds and funds can lose value. Even conservative, insured investments such as certificates of deposit issued by a bank or credit union, come with inflation risk. They may not earn enough over time to keep pace with the increasing cost of living.
Investment planning doesn’t stop once you make an investment. Evaluating the performance of your investments is a critical part of managing—and monitoring—your investment assets over time.
Please do not impose restrictions on the right to invest in public investments. Leveraged and inverse funds are important to my investment strategies.
Please do not regulate the funds. This punishes common, honest people.
The state of the economy
is caused by foolish individuals in government
I use the inverse funds to lower the risk in my long stock investments. I am retired and don't take much risk, so I need the inverse funds to lower the risk.
Summary
FINRA has adopted amendments to Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System) to expand the scope of the exemption to include eligible ATS transactions that involve only one member (other than the ATS). As amended, a member ATS may apply for the exemption for transactions between a member subscriber and a non-member entity