While Generative AI and large language models present numerous opportunities to create business efficiencies and offer many potential benefits to firms, regulators and investors, they also introduce unique risks. On this episode, we hear from three experts at FINRA who are closely looking at these technologies and following developments in this space.
Comments: Regarding FINRA Regulatory Notice 22-08.
I was forced into early retirement as a result of Covid. As such, I was forced into living off my IRA earlier than planned. I have been investing and trading for 45 years. I am a small retail trader. I occasionally employ the use of leveraged and inverse ETFs to protect against losses or to enhance returns with due regard for their intended
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The National Association of Securities Dealers, Inc. (NASD®) is issuing this Notice to Members as part of its continuing effort to provide members with guidance on complying with rules that govern
I believe it's each investors responsibility to understand risk of their investment and each institution to provide investment vehicle. It's regulators' responsibility to ensure investment institutions to disclose risk information properly so that individual investors understand the risk they are take. But it's wrong for the government to put regulation in
You need to place your attention towards all of the congressmen who have access to insider trading they all leave office as millionaires...so go get them to make a fair playing field and lay off the American investor who knows the risks....so leave us alone and allow the market to have both ProShares and Ishares without you sticking your noses in and allow our marketplace to remain an open
To the FINRA Regulators,
One of the greatest developments in modern American history is the democratization of investing and the ensuing freedom for individual investors to save, invest, and trade freely on an open market. Inverse and leveraged funds allow retail investors to enhance their trading and investing strategies with straightforward and low cost options that are fully explained in the
To whom it may concern, Although regulations within a society are important, I disagree with regulators limiting an individual's ability to choose publicly traded investments. Leveraged and inverse funds carry increased risks, but it is an individual's right to invest in them. As an individual, I am perfectly capable of understanding these types of funds, however, if I choose to invest
We live in very uncertain and volatile economic times. Leveraged ETF's give many people the ability to better their financial lives with some knowledge and skill as we steer through these incredibly volatile times. This can level the playing field and help to better individuals and family's financial wellbeing. Existing laws are already in place to protect people with the use
I know what I am doing in investing. Government has NO BUSINESS budding into my financial affairs under the guise of 'protecting me'. I should not have to go through special process. You are not my Mom or Dad. I am more informed, MBA PhD than most of your regulators. I have invested in leveraged funds successfully for over 30 years. I do not need government (uneducated) to educate me or
