Volatile markets can inspire feelings of fear and anxiety among investors. When the stock market gets rocky, focusing on your overall financial picture, combined with sound planning, can pay dividends. These five steps can help steady your pulse during market spikes and elevate your financial security.
February 1, 2001The first quarter 2001 software release for OATS contains two enhancements that will significantly affect NASD member firms, service bureaus, and clearing firms.The first enhancement is to empower member firms with the ability to control who submits order data on their behalf. OATS will give member firms the ability to set up reporting relationships with their Order Sending
Summary
This Notice reminds members of the Securities and Exchange Commission’s (SEC’s) adoption of a best interest standard of conduct for broker-dealers and a relationship summary (Form CRS) delivery obligation, and provides an SEC email address where members may submit questions about the new requirements. As more fully described below, the SEC encourages firms to actively engage with SEC
Kristin Chaffin partners with senior leaders to develop FINRA’s strategic talent goals and plans for a range of people-related programs, including talent management, organizational design and leadership effectiveness.Before assuming her current role, Ms. Chaffin was head of FINRA’s Employee Relations, Investigations and HR Generalist team. She joined FINRA in June 2020 from Gallagher, a Fortune
Suitable investment strategies can vary from person to person based upon age, income, assets, risk tolerance, family obligations, lifestyle and other factors. Don’t think of an investment strategy as “good” or “bad.” The key is to determine whether it’s the right strategy to help you accomplish your goals.
Good morning,
I am writing to discuss the impact that limiting leveraged funds would have on me as a private investor. I, as a private investor, feel confidently that I have the knowledge and experience to make personal decisions of how I invest my own money. I do not feel that it is in the purview of regulators to make determinations as to where and how I am able to use money for long-term and
FINRAs scheme is misguided because it: Hurts Investors: It could potentially deny us the freedom to choose investments that could help us achieve long-term financial security. Is Arbitrary and Unworkable: FINRAs definition of complex products is so broad, arbitrary and vague that it could ensnare a vast number of commonly used public securities. Tests or Upends Our Regulatory System: Under the
I'm writing in opposition of the proposed restrictions to the right to invest in leveraged ETFs. Leveraged and inverse funds are important to my investment strategies. I have 20+ years of trading experience and leveraged funds is one strategy I employ as part of my investment plan.
Capital markets in a democratic society should enable its people to choose the public investments that are
Hurts Investors: It could potentially deny you the freedom to choose investments that could
help you achieve long-term financial security.
Is Arbitrary and Unworkable: FINRAs definition of complex products is so broad, arbitrary and vague that it could ensnare a vast number of commonly used public securities. Tests or
criteria to determine investor understanding are subjective and could lead to
I oppose any regulations that affect my choices on which funds I can buy. I am a responsible adult and make financial decisions for me and my family. Funds should be available for anyone to buy, not just the wealthy or privileged. I should not have to go through special processes or jump through hoops in order to buy funds that support my financial plan. I am capable of understanding leveraged
