Regulating what assets a person can buy is not capitalism. The regulators aka central planners are intentionally or unintentionally turning the stock market into a place where only the wealthy can invest and expect great returns. Instead of regulating the 100's of millions of individual investors your energy would be better used regulating the trades of our congress men and women who
I am capable of understanding leveraged funds and their risks. I do not need these measures imposed on me. However, some better disclosure from the providers could be helpful to the public. Disclosures could include:
1) Predetermined plans for reverse and forward splits: "We will reverse split this fund if the value falls under $x.yz for a period of _________ days."
2) Better
Currently, I invest in TQQQ and a bond ETF. I take advantage of TQQQ's volatility and sell a portion of my holding when it goes up more than 9% in a CY quarter (moving dollars into my bond ETF) and and buy TQQQ when it goes down (sell portion of my bond ETF to do so). I do this trade just 4 times a year (at the end of each quarter). This type of trading has allowed me to significantly
It poses a severe threat towards market fairness. It further discriminate retail traders or investors from choosing the financial products that fit their trading needs because institutional investors are free of using high leverage in their trading. We, as retail investors, are fully aware of conditions, fees and risks of leveraged index ETF. They should NOT be made available only to a small rich
I've been using various leveraged and inverse funds for 20+ years. They are an integral part of my overall investment portfolio. I already had to convince Fidelity Investments that I understood these types of trading vehicles by reading, educating myself and signing a consent form. And they periodically (every other year or so) request that I sign the consent forms again. And I
This month, we are marking the 10th anniversary of the FINRA Securities Helpline for Seniors—an important milestone for a critical service that FINRA provides to protect vulnerable investors and assist harmed investors. On this FINRA Unscripted podcast episode, we will be speaking with leaders from FINRA’s Vulnerable Adults and Seniors Team—Elizabeth Yoka, the manager of VAST Intake, and Michael Paskin, the manager of the VAST Investigations, to discuss the Helpline and its 10 years of protecting investors.
Firm Made Misrepresentations to Customers and Violated Reg BI as well as FINRA’s Suitability and Supervision RulesWASHINGTON—FINRA announced today that it has expelled broker-dealer SW Financial for multiple violations, including making misrepresentations to customers in its sales of private placement offerings of pre-initial public offering (pre-IPO) securities, churning customer
Please allow retail investors the ability to trade LETFs. The prospectus makes it clear the risk imposed onto the investor.
Attention FINRA regulators: Investors don't need a nanny and you ought to stay out of the way and let people win and lose, so they can experience both outcomes. This is one of many things wrong with our country today. Risk mitigation enforced by governing bodies, that deprives the populace of experiencing life itself, among other things. It creates a dangerous loop of never experiencing
An individual investor making their own decisions is not the same as reckless wall street fund managers shorting with money they dont have. How dare the SEC come after retail traders when the clear issue is the wall street crooks. I trade for proprietary firms and i know what I am doing. It is apalling the Federal reserve is not being investigated and politicians are not being investigated,
