Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
I have researched various different leveraged funds (and strategies) and believe that in my 20s being able to apply leverage to my investment strategy and to deleverage as I get older will allow me to maximize my returns while reducing my risk given my long investment timeline. Specifically I plan on using a combination of leveraged broad stock market funds and bond funds and maintaining a set
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
I wish to STRONGLY OPPOSE this notice planned to eliminate and limit my choices as an investor. Can the government please stop over-regulating everything? Thank you.
Resources for Rules Concerning Brokers with a Significant History of Misconduct
Regulatory Notice 21-09
Mapping of Disclosure Categories for Rule 1017(a)(7)
Materiality Consultation Checklist for Rule 1017(a)(7)
FINRA Taping Rule (FINRA Rule 3170)
General Information on Statutory Disqualification and FINRA’s Eligibility Proceedings
Interim Plans of Heightened Supervision FAQs
Sample
Observations on Cybersecurity
Business Continuity Plans
Fixed Income Mark-up Disclosure
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
I have used Leveraged funds SUCCESSFULLY for the last ten years. They have added significant gains to my retirement plan. Please leave them alone.
I have been an individual investor for 30 years. I use leveraged etf's to help myself manage risk. They serve as an important part of my investing plan.
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
