I oppose any restrictions to my right to invest as I see fit. Investments must remain available to all. The thought of imposing a screening process on individuals to limit investment access sounds like something you would hear in mainland China. I am well aware of the risks and limitations of leveraged and inverse funds as well as any investment I may choose. I do not want regulators oversight. I
Individual investors should be free to make their own investment choices in well regulated markets. Taking away or making it more difficult to invest in leveraged and inverse financial products could drive investors away from regulated markets and subject them to increased fraud. The risks associated with these products is already well documented in the prospectus. These types of investment
NASD 2002 Renewals Program
Member firms' Final Renewal Statements became available in Web CRD on January 2, 2002. All payments or requests for refunds must be received by March 15, 2002. Final Renewal Statements can be retrieved under the "Renewals" menu item in Accounting. Also, all Final Renewal Rosters are available in Web CRD for viewing and printing in the firm's
I don't understand how you can decide to limit investment opportunities on leveraged funds that I have bought for over a decade. This is absolutely insane. I know what I am investing in and have done well for over 20 years. It is disgusting that you would try to limit my ability to invest in something that I know well and are important to my investment strategies. These are legitimate
As an investor, I should have the freedom to choose my own investments and take full responsibilities for my gains as well as losses. I will never invest on anything that will test my ability to invest or make sound decisions. The financial crisis is a perfect example of over regulated investments. I want to be able to invest in a market on the way up as well as on the way down. Regulators always
I have bought and sold shares in TQQQ for many years and used them judiciously in my portfolio. They were instrumental in helping me recover from the Covid correction in March 2020. I am well aware of the risks involved in owning a leveraged fund as well as the ETF decay associated with this fund. TQQQ has been extremely valuable to my investment strategy. Anything other than a broker alert that
In a free country I should be free to invest my money the way I see fit, not the way the government wants me to invest. I have done very well in leveraged and inverse funds. Markets go down as well as up and you can beat the market without the risk of individual stocks by using leveraged funds. The government has already taken far too many of our rights away in an effort to cater to powerful
I invest in 3 leveraged index's as a small part of my IRA. I am well aware of their volatility and I manage it by slowly reducing my positions at new market highs and buying back during corrections. My gains on the leveraged indexs have been twice as high in half the time as the regular indexs. Please dont limit investors options in the market place. We are well aware of the risks but
As a scientist as well as a financial advisor working with WFG, I sincerely believe it is myself 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 public, not just the privileged. I am completely understands the
leveraged and inverse funds and their risks and I want to use them as a tool to
WASHINGTON— FINRA announced today that after nine years in the Department of Enforcement, Christopher Kelly plans to leave FINRA on Nov. 1 to pursue other opportunities. In his most recent role of Senior Vice President and Deputy Head of Enforcement, Kelly oversaw the work of FINRA’s Enforcement attorneys throughout the country as well as Enforcement’s Litigation Group.
“Chris’s contributions to
