I am a high net worth individual. I use the inverse bear index's across a number of categories to hedge my portfolio during periods of uncertainty without using complex option strategies - I have found options to be far more susceptible to losses than reverse indexs. Using options as a hedge involves two variables - the strategy and timing both need to be right. Reverse Indexs remove the
Comments:
It should be up to the investor him/her self to decide their risk tolerance levels and which products will achieve their goals.
There is less risk in using an inverse ETF than the options derivative markets because the latter has more variables that are measurably harder to comprehend,
Your time would be better spent looking under the hood at what Is going on at financial organizations
Do not restrict my right to invest my hard earned money in whatever product I so choose. Leveraged, inverse, variable rate, option, etc. products are important tools for individual investors like myself. Individual investors can and do understand many complex investments and investment strategies. Individuals have to be allowed to make mistakes in life, including investments, as part of the
FINRA Revises the Investment Company and Variable Contracts Products Principal (Series 26) Examination Program
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceMutual FundTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article III, Sections 26 and 29 of the NASD Rules of Fair Practice. The amendments would revise, simplify, and add a recordkeeping requirement
For those who have an FPL account, is there a way in which we can view where the broker is getting the variable interest rate used? I have noticed is a fraction of what is reported from sources like fintel.io. Seems like there are many behind the scenes deals going on to allow for manipulation. If stocks are loaned out, then the interest rate should be able to have some reference of where the
Summary
FINRA seeks comment on a proposal to implement the recommendations of the Securities Industry/Regulatory Council on Continuing Education (CE Council) enhancing the continuing education requirements for securities industry professionals.1 The proposal would change the: (1) Regulatory Element to provide annual training, make the content more relevant, incorporate diverse instructional
If you leave assets untouched and have no contact with the entity holding your accounts for too long, they might be deemed abandoned or unclaimed property. While there are avenues for recovering these assets, there are also preemptive steps you can take to help you avoid this situation.
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperations*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to the Rules of Fair Practice to require member firms to send periodic account statements to customers. The last voting date is July 22, 1992. The text
