It is your duty to know your risk when you make an investment. The investor needs to be provided with the benefit of doubt that sufficient due diligence is completed, before the investment is made. Opportunity and risk must go hand in hand. The risk in opening a business is significantly greater than these investments and anyone can open a business with minimal restrictions. A person opening
I should be able to choose my own public investments and
not a disinterested party.
I have traded leveraged investments for over 10 years and understand the risk involved - and with today's volatile markets it enables me to better control potential wild market swings without risking a large amount of capital..
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TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 7, 1986, 23 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,580. These 23 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
The Series 79 exam — the Investment Banking Representative Exam — assesses the competency of an entry-level registered representative to perform their job as an investment banking representative.
Enhancements to FINRA’s May 18, 2018 Disclosure Review Process Relating to Public Financial Records
As an individual investor who has managed my own assets for decades, I protest any regulations which will inhibit my investment choices. You must be aware that the stock markets are manipulated from many directions--to the disadvantage of the individual investor. Thus the Buffet advice of just buy SPY and ride it out. However, some of us do notice and invest in trends with special
Hello,
I think that leveraged ETFs are of no use to anybody except for the people behind them. In addition to managing client assets for an RIA, I teach how to trade options and always tell my students to avoid leveraged ETFs like the plague. Most retail clients dont bother reading the prospectus to know that these are for day trading only or understand the slippage inherently built in to all
I understand with the influx of retail investors in the past couple years there is a need to help protect them from all of the complex investment options out there, however, restricting use is not the answer. It seems at every turn recently, the retail investor is used as the excuse for a problem that is caused by the major hedge fund and market makers. Retail traders do not have the ability to
The ability to freely access leveraged and inverse investment products allows even the small investor both opportunity and protection from market volatility. True, there are some who use these freedoms unwisely, but that is true of anything. Existing safeguards and regulations, in my opinion, are sufficient for the majority of investors, and risk and foolish choices will never be squeezed from
