In the securities world today, there is little daylight between money laundering and fraud. On this episode, we learn how FINRA’s Special Investigations Unit works to detect and investigate cases of illicit finance and market abuse, as well as how they proactively identify and mitigate threats.
There are countless things investors want changed in order to have a fair chance of succeeding in the open stock market without the mass manipulation and lack of transparency that is designed for the people to lose and the big institutions to take the profits. To put it simply, investors want accountability and enforcement of the current regulations. There are already many regulations in place,
There are countless things investors want changed in order to have a fair chance of succeeding in the open stock market without the mass manipulation and lack of transparency that is designed for the people to lose and the big institutions to take the profits. To put it simply, investors want accountability and enforcement of the current regulations. There are already many regulations in place,
Funds tracking non-traditional indexes can provide investors with an expanded set of investment opportunities beyond those offered by traditional indexes. But they can also create additional complexities and risks to consider.
I really want to invest on leveraged stock
The public should be able to trade any public stock the same as any firm, hedge fund group, etc. Regulating it so only "qualified" people can trade these stocks makes it an unfair advantage for the "big guys" and leaves the(me,us) little guy without those opportunities being available. I use these leveraged/inverse funds as part of my trading strategies and
I'm blessed to have been able to invest in many of the investments at risk of being able to invest in complex securities. This year with the public stock markets in a bear market my investments in interval funds, non-traded REITS, volatility linked ETFs and hedge funds have offset the risk of owning stocks. Limiting these investments further by imposing test requirements, net worth
I am currently using the SQQQ and SPXU 3x leveraged inverse funds to protect my stock portfolio during this market downturn. The SPY is down 14.11% and the QQQ is down 23.64% from their highs. My stock portfolio is down only 12.18% from my high. The 3x leverage allowed me to start later from the highs and use less funds for portfolio protection. Otherwise I would have had to sell more of my
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "the Commission") recently issued Release No. 34-29093 proposing for public comment the so-called "Penny Stock Disclosure Rules" to implement
Please leave it up to us individuals to decide which investments we choose. Having the option and ability to choose leveraged ETFs has been immensely helpful to me. For example, during this month of April while stocks / markets have generally been in a noticeable decline, I've been able to protect my portfolio investing in leveraged inverse ETFs that has resulted in my portfolio having
