Greetings,
I have been using inverse and leverage funds for years as a way to MITIGATE risk in my portfolio. They have proven time and again to be great vehicles for preserving wealth and capital in times of uncertainty. During the COVID crash, Inverse funds allowed me to hedge my portfolio quickly and easily and preserve most of my capital while the "buy and hold" crowd lost 30
As an investor, it is my responsibility to understand, research and select investments, along with the ultimate risks & rewards. This is the same I would expect of anyone who is investing.
For leveraged funds, it is a critical part of my broad investment strategy, again knowing the full risks, up & down. All fund prospectus's provides clear picture of the
Service members or dependents may receive one-time lump sum payments for injuries, loss of life, insurance, or lawsuit proceeds. These payments can replace lost future income, so take steps to ensure they provide a long-term benefit for your family. To make the most of military benefits and lump sum payments consider these tips.
I'm writing to let you know that I vehemently oppose this regulatory proposal for the following reasons.
1. I use leveraged and inverse ETF's regularly in order to manage and reduce risk in my investment. These ETF's allow me to hedge against market risk, and therefore are a very important part of my portfolio.
2. These public investment securities should be available
I am an individual investor who believes a person should not need to go through a special process before being allowed to invest in public securities. To invest is to be aware that markets fluctuate and carry inherent risk -- any serious investor learns this quickly. I should not have to jump through hoops or demonstrate I have an arbitrary net worth before investing in leveraged or inverse funds
<p>Applicability of NASD Rules to registered representatives of subsidiary bank of member broker/dealer.<br/></p>
As prepared for delivery
Thank you, Drew [Bowden] for that introduction, and thanks also to IRI for the invitation to speak here today. It’s my pleasure to update you on what we are doing and thinking about at FINRA.
I don’t need to tell anyone in this room how rapidly the legislative and regulatory environment is changing and evolving. We are all seeing it and living it every day. But, many of
The applicability of Section 40 (Rule 3040) to situations in which a financial plan is delivered to a customer without an execution of a securities transaction.
<p>Clarification of <i>NASD Notice to Members</i>
<i>94-44</i> to situations in which a dually registered person maintains discretionary trading authority, determines portfolio changes, and prepares trade instructions for customer accounts and charges the accounts an asset-based fee.<br/></p>
Member firms should be aware of an alleged large-scale data breach possibly affecting Oracle Cloud services at firms and third-party providers. FINRA recommends that firms review this information to assess any potential impact to their operations, as well as with third-party providers who provide services to the firm. FINRA previously delivered an email to firms whose domain names appeared in the threat actor post, as well as any firms that previously informed FINRA of their use of Oracle products and services.
