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: Securities Law Prof Blog

FINRA and SEC Issue Alert on Leveraged and Inverse ETFs

By Securites Lawprof

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FINRA and the SEC have issued an Investor Alert called Leveraged and Inverse ETFs: Specialized Products with Extra Risks for Buy-and-Hold Investors warning retail investors of the risks associated with investing in these highly complex financial products. This Investor Alert...

Full post as published by Securities Law Prof Blog on August 18, 2009 (boomark / email).

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Securities Regulator Issues Warning Relating To Leveraged And Inverse ETFs

Rydex, Direxion And ProShares Subject To Regulators' Probe As To Sales Practices For Leveraged ETFs

FINRA Conducts CMO Sweeps

SNSFE Investigating Abuses With Reverse Mortgages In Light Of FINRA Investor Alert

Wachovia Securities Fined $1.4 Million By FINRA

FINRA, Formerly NASD, Gets Serious About Enforcing Fines

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