Testing And Continuing Education Scheduling Procedures Revised
To provide a better level of service to members, NASD Regulation, Inc., and the Sylvan Technology Center Network (Sylvan) have agreed that certain appointment scheduling activities regarding testing and continuing education sessions will become the direct responsibility of NASD RegulationSM. Effective June 1, 1998, NASD Regulation
Like any other investment, employee stock awards come with risks. What should you consider if your company grants you a stock award or you're considering a job that includes equity compensation?
(a) Definition of Bond Mutual Fund Volatility Ratings
For purposes of this Rule and any interpretation thereof, the term "bond mutual fund volatility rating" is a description issued by an independent third party relating to the sensitivity of the net asset value of a portfolio of an open-end management investment company that invests in debt securities to changes in market
Summary
Recently, FINRA took enforcement action against several firms for failing to establish or maintain a reasonably designed supervisory system for recommendations of alternative mutual funds, also sometimes referred to as “alt funds” or “liquid alts” (“Alt Funds”). FINRA is continuing to note such deficiencies in its examinations and communications reviews of such products.
This Notice
January 2011 Supplement to the Options Disclosure Document
I am fully aware of the risks I take with my investments. I do not need the Government to protect me from myself. Leveraged funds are important to my investment strategies for retirement because they help to maximize returns on my investments.
I have invested in various ProShares stocks for more than 7 years. I fully understand the risks. Currently, my investments in ProShares products are a small percentage of my overall investments. I would like to continue to invest in ProShares products.
I have a brokerage account at Fidelity M & R. They require each customer to specify their risk tolerance in advance. That
provides sufficient screening for an individual investor like myself to take an ETF position with or inverse to an industry sector or the market, whether it is leveraged or not.
Dont think that we retail investors are dumb or need the regulators to protect us from ourselves! Its my money, let me trade how I want too, I have been doing this for a decade, I understand the risks.
I believe that any restrictions on inverse or leveraged ETFs would result in an inability for investors to hedge the risks to their portfolios that are inherent in the market.
I use such ETFs myself and find them to be a very useful tool in implementing my investment strategies.
