Timothy Thompson is Senior Vice President, Enterprise & Financial Solutions. More specifically, Mr. Thompson serves as the Head of FINRA’s Enterprise Risk Management (ERM) Team. ERM provides a consolidated, organization-wide view of risks that could potentially have a significant impact on FINRA’s ability to achieve its mission, strategic goals and key
(a) Procedures for Reviewing Transactions
(1) An Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President (FINRA officer), may, on his or her own motion, review any over-the-counter transaction involving an exchange-listed security occurring outside of Normal Market Hours (9:30 a.m.
Sec. 3. The Board may employ or authorize the employment and prescribe the powers and duties of such agents and employees as it deems necessary or advisable. The employment and compensation of such agents and employees shall be at the pleasure of the Board, provided that such determinations are not inconsistent with the requirements of the Delegation Plan. Except as provided in Article
In many cases, an unforeseen emergency can derail your financial plans. However, there are steps you can take to soften the impact of an unexpected hit to your finances. Here are a few tips on how to prepare for and survive financial hardships.
I would like to express my SUPPORT for additional regulation of trading leveraged and inverse funds. I use leveraged ETFs quite heavily in my own financial planning, and I don't see any reason not to require investors to pass a simple test to use these products. They are a great tool for hedging, but they can be very riskyand I believe some measures should be taken to make sure that they
I don't not want my investment in leveraged S&P 500 and NASDAQ 100 index ETFs to have any more regulation than is presently in place. I feel content and confident in my investment planning with these products in my portfolio. Using the leveraged products allows me to keep more money in my CASH AND US BOND part of my portfolio to add security to my income while still achieving my
Please do not add more hurtles to investing in inverse ETFs and leveraged ETFs.
Ive used several ProShares leveraged inverse/ short ETFs to act as over night insurance for my bond and equity funds, i.e to reduce loss when fear is roiling the markets. I am in my late 50s, I also trade long ETFs where I hold for brief periods to improve my overall return. I consider both long and short, leveraged
Leveraged and inverse ETFs offer regular investors a safe way to invest in a wider variety of securities, achieve higher returns and meet financial goals faster. Without these instruments, achieving these returns would require investors to take risky short positions or margin trade, which are much riskier than being able to invest in these funds. My brokerage already has adequate warnings about
Dear FINRA,
I have become aware of the unnecessary regulations planned for restricting my access to invest in leveraged and inverse funds. I have been trading inverse and leveraged ETFs for the last four years without any issues. Adding restrictions will stop me from trading and investing in ETFs as well as many other investors that can profit from changes in the market trends.
ETFs and other
The United States is a free capitalist country where people have freedoms guaranteed by the Constitution. This should reflect from the freedom of investing too--people should have their freedom to choose what and how to invest their money. We save and invest to better our future lives. I diversify in my investments. Leveraged and inverse funds, though by no means of a large portion, are important
