The people / investors not regulators should be able to choose the public investments that are right for our selfs and our families Public investments should be available to all of the public, not just the privileged. As a investor it is our responsibility to understand what we invest in before we invest so the funds your looking to prohibit with restrictions from the retail investor or public
FINRA regulators: Please do not add additional regulation to leveraged and inverse funds as proposed in rule #S7-24-15: Why? 1. These are ALREADY public products APPROVED by the SEC and INCLUDE clear risk warnings. Why impose higher hurdles that would PRECLUDE my ability to use these products. I am specifically concerned about the condition to demonstrate high net worth as I am a small investor.
The idea that everyday people need to be "protected" from themselves with further regulation and restrictive safeguards pertaining to "complex investment products" is absolute nonsense and contradicts the very principals of a free and open marketplace. Real problems like naked short selling and big money manipulation goes completely unchecked, yet the magnifying glass is on
To whom it may concern, I have used leveraged and inverse funds within the past two years in time of high volatility to hedge against my portfolio. If the instruments are taken away from us, and allowed for use for only to special personnel then my right to choose my investments is essentially taken away. I understand that there are risks involved with the use of leveraged and inverse funds,
I believe in the public's ability to research and invest and not be hindered by yet more regulation and restrictions. The individual is slowly being pushed out of the ability to make investment decisions. Many financial advisors are mandated to create a client risk profile and that results in the individual having very little room to make adjustments. Allowing ever-larger advisor groups to
The speed of change in the financial industry means that firms must work diligently to remain current—and a great way to do that is by attending events like this, sharing ideas with your peers and discussing your concerns with regulators. This is a great point in the year to reflect on what has transpired so far in 2012 from a regulatory perspective and discuss many current areas of focus for FINRA.
FINRA has assembled a list of resources that firms may use to manage their cybersecurity risk. These resources include: news and analysis; effective practices and guidance; and free diagnostic tools...
Invest in what you know. It’s a common investing adage, and employees might think they know their employer better than anyone else. But should you invest in your company’s stock? Owning a stake in the company you work for might have some advantages. However, there are risks you should consider.
I got a letter from Proshare urging me to oppose FINRA regulatory notice 22-08 and I almost submitted my public comments but decided to actually read the FINRA notice first. It was an eye-opener to say the least. I am an educated and experienced trader who understands the risks of complex instruments such as inverse funds, leveraged funds, options etc. But the examples FINRA shared of
I got a letter from Proshare urging me to oppose FINRA regulatory notice 22-08 and I almost submitted my public comments but decided to actually read the FINRA notice first. It was an eye-opener to say the least. I am an educated and experienced trader who understands the risks of complex instruments such as inverse funds, leveraged funds, options etc. But the examples FINRA shared of
