An unprecedented number of companies are pursuing an alternative path to entering the public market by using a special purpose acquisition company or SPAC. In 2020, SPACs raised over $80 billion, and in the first nine weeks of 2021 SPACS raised over $70 billion. Here are some basics on SPAC investing.
Leveraged Index Funds are less complex than the mutual funds non-accredited investors can purchase through personal brokerage funds. This is largely for 3 reasons: The fees are easier to understand, distributions and dividends are easier to understand, and returns are easier to understand.
Mutual funds are notorious for complicating their fee structures and, (as someone who has passed the SIE
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).
These are not complicated financial instruments instruments and vital to my trading policy.
Do not restrict our ability to invest in leveraged financial products.
The Anti-Money Laundering (AML) section of the 2021 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
I want to be free to invest in any of the financial instruments listed above.
I protest to any restriction to invest in financial instruments of any kind.
It is a free market. Individuals have the rights to trade within their financial capability.
FINRA Revises the Rule 4530 Filing Application Form and the Product and Problem Codes for Reporting Customer Complaints and for Filing Documents Online
