An average American who chooses to invest in equities is competent and capable of understanding the various forms of investments and the related risk. Being able to invest in leveraged equities is a crucial part of both traditional investing as well as hedging strategies that are ABSOLUTELY ABLE TO BE EMPLOYED WELL by average people. Reducing the number of potential investments and investment
I know for sure that having specialized rules and red tape for complex leveraged and inverse products does not actually reduce the risk faced by retail investors. Access to leverage can even be used to reduce risk in an overall portfolio, as numerous other commenters have noticed. When implemented as part of a well planned strategy, leveraged and inverse products can provide crucial diversifying
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Nominees for the District Committees and District Nominating Committees
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt on a permanent basis the pilot program for Market-Wide Circuit Breakers in FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks).
Introduction: Guidance for Arbitrators on Requests to Produce Suspicious Activity Report Information
By Judith R. Starr *
Introduction by Alma Angotti **
Introduction
On October 26, 2001, President George W. Bush signed into law the USA PATRIOT Act (Patriot Act). Title III of the Patriot Act, entitled "International Money Laundering Abatement and Anti-Terrorist Financing Act of 2001,
SR-FINRA-2009-016 - Proposed Rule Change Relating to the Adoption of FINRA Rule 2080, FINRA Rule 2310, FINRA Rule 4551, and FINRA Rule 2266 in the Consolidated FINRA Rulebook
I am a Financial Advisor with LPL Financial and have been in the business for over 30 years. I have been using Proshare inverse ETFs with client portfolios purely as a hedge in accordance to LPL firm guidelines and limitations. My clients are generally pre-retired or retired folks, none of whom one would categorize as super rich. I comply with firm requirements and limitations related to the
Memo to SEC/FINRA regarding the purchase of leveraged investments Proposed Rule #S7-24-15 I appreciate the opportunity to comment on this proposed new rule/regulation. I have held ProShares in one of my portfolios since early 2016. Symbol USD. This investment is up 742.06% and has split once 3:1 which tripled my shares. It has performed well in up and down markets. It has enhanced my returns in
There should be no "dark pool." Where they change the orders to whatever fits their agenda. This is obvious they are literally keeping the prices one to two cents below certain strike prices that have blown up in call options, then as soon as there are over ten thousand for one certain strike price they stop the momentum and hold it there until after market close. This is obvious to a
