The Cybersecurity and Technology Governance section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
IMMEDIATE ACTION REQUIRED
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Accounting
Operations
Retail
Mutual Funds
Mutual Fund Breakpoints
Customer Refunds
Net Capital Compliance
Background
In late 2002, as a result of several routine examinations, NASD discovered that some members had
I enjoy investing with leveraged and inverse ETF's and have found them as a compliment and beneficial asset to my portfolio. I would ask that retail investors (whatever level) be able to invest in these products. Freedom to invest in the products that best fit your needs and strategy are helpful for me as I save for retirement, down payment, and other savings goals. Thanks for your time
Please consider the rights of the general public in investments. It should be my right to invest in what I feel is the right package for me, not FINRA.
Investing should not be determined by how many billions you have to invest. We all should have access to invest as we see fit, or are able to use our assets in the way we would like.
Regulating plans such as pensions and retirement plans (401k, 403b, etc), where the saver/investor has little to no input on how the fiduciary treats their money is wise.
REMOVING ACCESS TO VALUABLE INVESTMENT TOOLS FOR THE INDIVUAL INVESTOR, MAKING THEIR OWN DECISIONS, IS NOT.
Please do not make it harder for me and my family to invest our assets in a way that meets our needs!
Nominees for FINRA Board of Governors
As a retail investor and active participant in the free market, it is my personal choice as to whether I can invest in a speculative asset or not. Government does well to regulate markets, but should not prevent any individual from deciding how to participate. The SEC does not regulate gambling which is essentially the same thing. Dont make crypto investing unattainable for non accredited
In my opinion Finra needs to stop loading restrictions those don't make sense. Let traders and me decide rules for public investments unless it's protection of my assets. No test process is needed without my approval stupid. Too much government and it's control is not acceptable while filling their own pockets using corruption.
In times of extreme volatility, leveraged funds serve an important function in the management of my retirement assets. They do not consume many dollars, yet because of their enhanced status protect the downside of my non-leveraged funds. Were they to be restricted or disallowed, I would be forced to completely exit the market, and my retirement accounts would soon be rendered useless, ravaged by
I believe individuals can and should do proper research and use their own abilities to assess risk exposure. The ability to trade inverse and leveraged funds is indispensable and key to holding a balanced portfolio or responding to volatility in the market. Without inverse funds I personally would have to pull my assets out of the market to react to current and possible future market conditions.
