Ive been well informed by my stock broker with written documents and explanation about the risk of leveraged and inverse funds/ETFs. Therefore, I DO have the knowledge and understanding about the risks/rewards regarding the said funds/ETFs. Thus, I would like the freedom to trade inverse and leveraged ETFs since they enable me the flexibility to profit from both rising or falling or even flat
As a professional investor with 15 years on Wall Street and another 8 years at the US Treasury, I find this stretch to be over-regulation. Investors should have the ability to choose investments and while limiting investment choices makes a sense for some investors, broadening the scope to require additional hurdles and an regulator review is an over stretching. Investing is risky. Investors are
As a long time investor the idea that I can not understand the risks of complex and leveraged funds is ridiculous. I regularly use these type assets to hedge against things like the current rise in interest rates and do not require the government to hold my hand while I use them. The market is not a FDIC insured bank account and investors are regularly informed that they can lose money and if
The tools of an investor to offset risk through the use of some of the inverse or short funds could substantially impact their ability to mitigate losses. Investors need to understand the risks involved in EVERY product, including publicly traded stocks. ALL investments carry risk, every single one. The Boards ability to define who is knowledgeable or not is overstepping their scope of regulation
This proposal is just another attempt to restrict the options, retail investors have to invest in the market. Large institutions have always had a clear advantage, privy to information first, flash trading etc. Restricting retail investor's ability to short or long the markets using these types of vehicles is, once again giving the institutions the upper hand in playing in a field they
Comments: The leveraged and inverse ETF products offered by Direxion and certain other institutions include complete descriptions of the risks associated with these types of investments and frequent warnings regarding risk in the product descriptions. Direxion even offers comprehensive explanations and educational materials with detailed product information. It is very clear in the fund
On this episode, we hear from members of both the Vulnerable Adults and Seniors (VAST) Intake and Investigations teams to hear how the groups work with individual investors, firms, states and other regulators to prevent and detect financial exploitation of senior and other vulnerable investors.
ACTION REQUESTED
Interfering With Customer Account Transfers - Proposed Interpretive Material
Comment Period Expires: July 6, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Training
Account Transfers
Employment Disputes
Injunctions
Executive Summary
NASD Regulation, Inc. (NASD
Comments: FREEDOM TO CHOOSE should be the norm. in the market any and all financial products have risk embedded. the ONLY way a trader can make use of those products in a limited risk situation is by having correct and updated information that is really understandable to most, specially pointing extreme risk situations and by educating himself on how to handle risk with those products. so, my
The Neutral Corner—Volume 1, 2021
Mission Statement
Understanding the Assertion of Legal Privileges in Arbitration Proceedings
(by Steven B. Caruso and Kenneth Crowley)
Bits, Bytes and E-Discovery Fights (by Lisa Miller, FINRA Arbitrator)
FINRA Dispute Resolution Services and FINRA News
COVID-19 Vaccine information for Hearing Purposes
COVID-19 Hearing Postponements and Virtual Hearings
