CRDIndividual Name A5429958BARBARA JEAN ABADI5251101YOUSEF ABBASI1879052JOSEPH ABBONDANTE5239825JOANNA ABDELHADI307EMMETT MAURICE ABERCROMBIE1610607ANDREW MARTIN ABERN4162073JOSH RAY ABERNATHY2987570EUGENE GILBERT ABEYTA, JR4311057ANTHONY RICHARD ABNER2733649MAURICE WAYNE ABNEY3273075AMR MOSTAFA ABOULMAGD6140331CRYSTAL DAWN ABRAHAM4412506SEYMOUR ISAAC ABRAMOWITZ4661358LISA
Comments: All investing involves risk. Stocks, Bonds, Mutual Funds, ETFs, Commodities, Currencies. Imposing sanctions, regulations on a specific sector or industry that market "complex products" is arbitrary, biased and prejudiced when not imposing the same sanctions, regulations on other risk assets as Stocks, Bonds, Mutual Funds, ETFs, commodities, etc. Those who market these "
#1: As an American I take great offense to even more regulations on my ability to make intelligent investments, since a free citizen should be able to make or lose money on their own volition, not that of a Regulator . . . FYI the "motherly" $25,000 Trade Rule regulation cost me dearly at times in the past;
#2: My risk is less with leveraged ETFs as I invest much less than I am
I recieved an email today about proposed restrictions on inverse and leveraged funds. I want to express how these funds can be a valuable tool to retail investors
With so many changes in trading in the last few years. No fee and fractional shares. It has opened opportunity to people with less money to invest
For years i used a name brand broker buying their mutual funds and holding forever. I
Dear Regulatory Personnel(s),
First, thank you for taking the time to read through my concerns about the potential harmful changes that would strike at the core of small to mid-size investors. In our vastly changing world, the small-time investor is continually being squeezed out and further separated from the high wealth class, entities with super computers, and market manipulation. It&#
I do not agree with the regulations that are being propose for Leverage or inverse ETFs. They are an investment tool that have produce great results for me and my family. This regulations could hurt my ability to make money with these tools. I, not regulators, should be able to choose the public
investments that are right for me and my family. Public investments should be available to all of the
To whom it may concern,
I request you do NOT add new requirements or restrictions to those funds deemed "complex." The term itself can be vague at best and requiring consumers to jump through arbitrary hoops still doesn't reduce the risk of harm in any way, but it could potentially exclude individuals from benefiting from their added diversification.
As a recent
The best tool FINRA provides when it comes to firms developing their annual compliance program is now available. On this episode, three Member Supervision senior leaders join us to dig into some of the new and noteworthy regulatory topics in the 2023 Report on FINRA’s Examination and Risk Monitoring Program.
Comments: I am a long time investor of L&I products. For 20 years I have used these products to successfully grow my portfolio. In 2008, after having done extensive research on the impending undermining of off balance sheet investments done by banks with mortgage securities, I successfully grew my portfolio, in spite of the professional advice given by traditional brokers. I specifically
Mortgage-Backed Security (MBS) data provides comprehensive information on mortgage-backed securities (MBSs) that traded within the past 10 years.
Data field
Definition
Why we share this data
Amortization
Amortizing securities are debt securities like bonds, but they pay the principal back with each payment rather than upon maturity.
