To Whom It May Concern, I have seen first hand the impact of false information devastate retail stock investments. Without real integrity, the small individual like myself, will not only be disheartened, but disillusioned with market. How can we possibly compete in a fair and just market when the lack of transparency means you will never have a level playing field. Please, please make every
This month, we are marking the 10th anniversary of the FINRA Securities Helpline for Seniors—an important milestone for a critical service that FINRA provides to protect vulnerable investors and assist harmed investors. On this FINRA Unscripted podcast episode, we will be speaking with leaders from FINRA’s Vulnerable Adults and Seniors Team—Elizabeth Yoka, the manager of VAST Intake, and Michael Paskin, the manager of the VAST Investigations, to discuss the Helpline and its 10 years of protecting investors.
INFORMATIONAL
Online Suitability
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal & Compliance
Executive Representatives
Suitability
Online Communications
Executive Summary
In light of the dramatic increase in the use of the Internet for communication between broker/dealers and their customers, NASD Regulation, Inc. (NASD Regulation) is issuing a Policy
Dear Sir/Madam, I work as an R&D Engineer, and consider myself a middle class American. I frequently invest in ProShares UltraPro Short QQQ ETF, symbol SQQQ, and ProShares UltraPro QQQ, symbol TQQQ. These funds give me great flexibility in meeting my long term investment goals. I am well informed of exactly what these funds offer, and am able to incorporate them into my investment
Leveraged ETF/ETNs do pose risks most retail investors do not understand. However, retail investors that understand the risks should not be barred from utilizing these very useful assets. Broker-dealers should require due diligence in line with that of margin approval and options approval. Specific arguments for this approach include:
1. An investor can lose 100% of their investment in a
I have been using leveraged and inverse ETFs with great success for 12 years, with proof of performance results far greater than S&P 500. I have an MBA from Tulane, but my trading education began by studying with Steve Lescarbeau, featured in Market Wizards by Jack Schwager. My experience and methods of analysis of selecting appropriate funds are far beyond the many authors of articles
As an individual investor I consider
leveraged and inverse investment funds very useful to manage risk in my overall investment portfolio. They represent a minority but important percentage of my overall portfolio and are utilized to help offset and mitigate risk in my more Substantial longer term positions on a short term basis, avoiding disruptive transactions in my long term holdings.
I am
I have invested in leveraged funds for over 20 years. Although they have risk, I am retired and would like to preserve wealth. I do this through leveraged funds. By investing 50% of my invested cash in a 2x leveraged fund, I get a return that is less than 2X in a given year but over a long period of time, I am likely to get more than 2X due to compounding. I understand these instruments are
I am writing in regards to possible legislation which would limit the use of leveraged and inverse ETF's. I ask that you please do not limit or get rid of these ETF's. These financial instruments have given me the ability to grow my retirement account faster and provide supplemental income for my family. If you want to put an additional disclaimer that investors are required
I should always be able to choose the investments that are right for my portfolio. Public investments like leveraged and inverse funds should be available to everyone and not just the privileged so called experts. This restriction sounds familiar to the last time the market began to pull back in 2007/2008 and I find it interesting that every time the government prints more money and the Fed
