<p>Member that serves as investment consultant and sub-administrator for certain mutual funds, but does not serve as either the principal underwriter or an investment adviser or sub-adviser to the funds, may state in its public communications that it does not offer proprietary products.</p>
Summary
FINRA360 is an effort through which FINRA is conducting a comprehensive self-evaluation and organizational improvement initiative to ensure that FINRA is operating as the most effective self-regulatory organization (SRO) it can be, working to protect investors and promote market integrity in a manner that supports strong and vibrant capital markets. In March 2017, as part of the FINRA360
I am 74 years old and have the majority of my assets under mgt. with two different styled advisors. I have invested in Pro Shares Short S &amp; P 500 ETF for two small accounts (which I oversee) in a very limited and disciplined approach to offset the economic problems caused by the current administration in Washington. I understand the risk, but given the current market conditions,
I have never met anyone who thinks investing has no risk. People are by nature very protective of their assets, so give them credit for knowing how to manage risk. My broker already makes me read a disclaimer regarding risky or complex securities every time i seek to trade one. Placing restrictions "protecting" retail investors and traders from themselves inhibits them from the same
My experience over the last several years has demonstrated the value in modest and moderate usage of leveraged ETFs for ordinary investors such as myself. Fully aware of the risks, I have made significant gains which would not have been possible otherwise. Requiring these additional steps would cut off all but the wealthy from the benefits of these assets, forcing investment in instruments which
I hold positions in many of these at-risk funds in my portfolio. I find many of them to be useful for reducing my overall risk by spreading my investments across different asset classes and reducing the overall volatility of my portfolio. I am fully capable of understanding my investments, their risks, and their rewards. I do not need to prove my understanding to anyone before risking my money. I
It is one thing to protect the retirement assets of individuals from extremely risky or highly speculative investments but complete overreach to attempt to restrict investments in taxable accounts. You would be better focused attempting to level the playing field in our flawed public markets. Why have so many companies gone private? Why is the Fed allowed to so manipulate markets for so long
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Executive Summary
Effective January 10, 2000
I not only buy cryptocurrency funds but I also buy cryptos/tokens. Also, along with these I also buy funds that track other asset classes, ETF's, bullion, both gold and silver, and gold and silver stocks. I buy large cap, small cap and mid cap equities. I buy and sell option contracts.
Why on earth are you considering infringing on the investments in cryptocurrency funds?!! Please
No new regulations need to be added. Protecting retail investors is just an excuse. Everyone enters knowing the risk they face. Everyone accept their own mistakes, they don't think to themselves if only the government had stopped me. Even if a few undisciplined traders fail, doesn't mean everyone else should be punished. Leverage assets can either make you or break you. Yet politicians
