FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek
KEEP YOUR HANDS OFF MY CHOICE OF INVESTMENTS. I CHOOSE THE RISK AND ACCEPT THE CONSEQUENCES. I DON'T NEED YOUR REGULATIONS. I LEARNED WHEN I HAD LOSSES OF WHAT NOT TO DO. MY EXPERIENCES HAVE HELPED ME TO INCREASE MY GAINS. PROSHARES WARNED ME BY MAIL ABOUT THE RISKS INVOLVED WITH TQQQ AND SQQQ.
I oppose restrictions to my right to invest.
In observance of Independence Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, July 4, 2022. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications,
Regulations prevent small investors like myself from participating in venture capital and hedge funds, keeping more wealth in the hands of the wealthy.
UPRO's leveraged investment options are a critical component of my portfolio. Leveraged, they increase risk, but are also tied to market performance which diminishes single company/industry risk whereby I can choose the risk level I want
When it comes to public securities, we do not need additional regulations. The market needs all the help it can get, not additional and unnecessary obstacles to investor autonomy.
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST
Dear Sirs & Madams--
I oppose being restricted in investing in leveraged investments. I have been doing so for many years now as a supplement to my primary retirement "buy and hold" investment strategy. I am range-trading a small percentage of my overall portfolio using leveraged funds.
Frankly, I'm not sure why FINRA is getting involved with this. I
As announced by the Board of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions' daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal government agencies including government-sponsored enterprises (agencies) via its Trade Reporting and Compliance Engine (TRACE
