Allen Williams Comment On Regulatory Notice 22-08
If you close financial instruments to the small investor, then you must close them to all. Otherwise, it prejudice.
For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
If you close financial instruments to the small investor, then you must close them to all. Otherwise, it prejudice.
Inverse ETF'S have been a key part of my investment portfolio some several years, providing a seasoned investor like me diverse investment alternatives. Restricting these alternatives would take away alternative investments and force investors back to trading options and other securities. Please do not restrict or remove Inverse EFT'
I strongly disagree with regulations that limit my ability to access a variety of investment options as an individual investor. I should be able to choose investments that are right for me. Public investments should certainly be available to all of the public, not just the financially privileged. I also shouldn't have to go through any special process or test to invest in public securities. I am capable of understanding my investments and their risks. I don't need regulators to impose these measures on me. Thank you,
If you propose to regulate Leveraged and Inverse funds to the general public don't allow just the wealthy few to have access to this type of investment . Since they pose risks outside a normal stock or mutual fund maybe a person should have to read and sign a Letter of Understanding before investing. I invest in TQQQ and I can see sharp gains and steep drops in my account. So I know the risks involved since I see it with my own money. Just be far to all investors.
Every investor shouldn't have to go through any special process before you can invest in public securities like leveraged and inverse funds. As an investor, we are capable of understanding leveraged and inverse funds and their associated risks. Regulators do not need to impose additional measure on the investing public and should not be available to just the privileged.
we the people have rights to more then you , stop trying to steap on them ,
I have been using these tools for years
FIRNA reps: I invest in leveraged etfs and inverse etfs, along with mutual funds and individual stocks. All these investment vehicles allow me to invest as I wish depending on my needs. The consumers should have more vehicles to invest, never less.
To whom it may concern,
Not regulators-I should be able to choose the public investment that are right for me and mine family. Public investments should be available to all of the public, not just the privileged. I do not have to go thru any special process like passing an exam before I can buy public securities. I am capable of understanding mine investments and their risks. I do not need terrible mesures, imposed on me; when I invest.