Although it is important broker's are fully versed in all aspects of the products they offer and they should know their client as well, the retail investor should be left to self manage as seen fit for themselves. Before investing in an individual company there are many statements, past and future earnings and market and economic conditions to review. In the past I typically would spend 20
I just find it funny that youre now oh so concerned with our knowledge and ability to use leveraged ETFs now that the market is falling to crap. You just dont want the everyday Joe making money on the way down like the big boys do. Inexperienced traders lose money everyday on all kinds of stocks and all you fat cats profit from it but now you care about us not losing our money. I call [REDACTED
I have invested in both leveraged and inverse funds for a long time. The leveraged funds increase my potential gain and inverse funds give me protection from downturns and I don't want the regulators to meddle with my investments unless they can show me investments that only make gains and never lose. Also, before proposing such regulations they should clearly state their objective and
January 2008
FINRA is conducting a review of the policies, procedures and controls with respect to information barriers. To facilitate this review, FINRA requests a copy of the following information and/or documentation:
Organizational charts for the firm's investment banking department (or equivalent department, i.e. financial advisory department) and compliance
Could someone please inform FINRA that the US is well into the throws of a total societal/financial collapse, as is most of the rest of the planet. Adding layers of burdensome regulation and limiting the public' in which publicly traded securities they may or may not use for speculation, hedging or investment purposes is equivalent to rearranging the deck chairs on the Titanic after it
I am a CPA by trade currently working in the banking sector and have combined public/private experience of more than 20 years. I actively manage my retirement account as well as family fund. I hold bachelor and master degrees in accounting/finance and has been self-educating myself in investing over the years. I don't need a broker license or CFA title because I don't intend
OverviewActivities relating to FinTech business models has attracted the interest of prospective and existing FINRA member firms. This guidance is intended to provide applicants with direction on key regulatory and compliance questions and challenges for both perspective and existing FINRA members. A prospective FINRA member firm must seek approval for new FINRA membership through the submission
I am a private citizen who has been managing my own investment accounts for over 20 years. During those years I studied the markets and investment strategies. Initially I had to convince my brokerage firm, Charles Schwab, that I was qualified to trade options and inverse ETFs as well as futures contracts and manage my own accounts. It is very important to me that I be allowed to determine what
Hello, Public investments should be available to all of the public, not just the high net worth individuals. Despite their risk, Leveraged and inverse funds enhance returns when they are used as a limited part of my overall portfolio. It isnt right to only offer them to the rich under the assumption that they can afford to lose more. We, with less money care just as much about our money but want
Board Appoints Industry Governors, Discusses FINRA’s Long-Term Financial Planning and Hears Latest From Key Stakeholders
